How to Ensure Regulatory Compliance for Advisors Across your Firm

Logo
Presented by

Shreya Matt, Tamal Srimany, Nitin Padamakumar Nair

About this talk

Increased regulation including the SEC Marketing Rule, RegBI, and DOL have compelled Home Office Compliance teams to enhance their review procedures with more insight into the proposal activities of advisors. Managing oversight of your advisors is time consuming. We believe Enterprises should have an easier way to analyze aggregated advisor data. Join our webinar to see how your Compliance team can oversee advisory activity to ensure regulatory compliance. Learn how to identify flags and make impactful business decisions across your organization. In this webinar, we will explore Morningstar’s Enterprise Analytics Compliance Dashboard including: - Using Filters in Compliance Dashboard - Creating Custom Filters in Compliance Dashboard - Navigating Client Facing Reports Generated in Advisor Workstation - Viewing Reports and Proposal Details - Initiating the Review Process
Related topics:

More from this channel

Upcoming talks (7)
On-demand talks (314)
Subscribers (86923)
Investment research and analysis for financial professionals. Unpack the latest investing trends. When you subscribe to the channel, you unlock unlimited access to tips on portfolio management, investment planning, business growth, and more.