U.S.A.
Overview
Share Class Analyzer
Compliance Data Digest
Point-of-sale requirements. Compliance tools.
Morningstar Advisor Compliance Tools help brokerage firms comply with SEC and FINRA regulations regarding breakpoints, rights of accumulation, share class suitability, and other point-of-sale compliance requirements. Enhanced compliance processes reduce regulatory risk, improve client service, and save time for both the advisor and supervisory staff. The licensed tools below are the first in a growing series available only to institutions.
Morningstar® Share Class Analyzer
Find the best mutual fund share classes for clients using this tool’s thorough suitability analysis capabilities.
Morningstar® Compliance Data Digest
Identify breakpoint opportunities for clients while efficiently applying point-of-sale rules and prospectus information.
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