Aligning Regulatory Compliance with Your Firm's Growth Strategy

As investors demand more transparency, we continue to see new regulations introduced that protect consumers, fortify the fiduciary relationship, and mitigate conflicts of interest. Firms are now turning their attention to the new SEC Marketing Rule, and many may be tempted to apply a band aid approach that simply addresses current requirements. These point solutions can prove to be more time-consuming and costly in the long run. Instead, companies should be proactively managing regulation as a core component of their operating strategy. Those that embrace regulation not only mitigate risk but may gain a competitive advantage. Join us as we discuss the challenges and opportunities of today’s regulatory environment. - What near-term pressures is the new SEC Marketing Rule posing? - How can you embed regulatory requirements within your firm’s strategy? - What is the future direction of the regulatory environment? Panelists: Matt Radgowski - Head of Advisor Solutions, Morningstar  Aron Szapiro - Head of Retirement Studies and Public Policy, Morningstar  Jeongmin (Jenny) Lee – Market Research Manager, Morningsta