Name: How to Ensure Regulatory Compliance for Advisors Across your Firm
Start: 2023-11-15T15:00:00Z
End: 2023-11-15T15:00:29.000Z
Location: BrightTALK
Rating: 0

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. 

Discover how tightly coupled financial data integration within CRMs can revolutionize financial advisory services by enhancing decision-making, elevating customer experiences, and boosting operational efficiency.

CRMs for Advisors: Why Tightly Coupled Financial Data Integration Is Critical

Join our webinar to see how ByAllAccounts' Custodial Data Feed Network and new advisor onboarding process transforms a traditionally frustrating experience into a streamlined, efficient journey.

Wealthtechs: Level-up Your Advisor Book of Business Data Access

Join industry leaders for an insightful discussion on the key Wealthtech trends of 2025 and early predictions for 2026, offering wealthtechs a strategic edge in navigating the future of financial technology.

2025 Wealthtech Trends & Early Predictions for 2026: The Industry Tech Talk

Discover how leveraging automated tax lot data can transform your rebalancing process by enhancing the advisor experience with efficiency, optimizing tax management, and delivering personalized portfolio solutions.

Wealthtechs: Increase Advisor Efficiencies with Automated Tax Lot Data for Rebalancing

Join Morningstar Direct Advisory Suite for a timely webinar designed to equip advisory firms with the knowledge and strategies needed to thrive in today's dynamic regulatory environment. In this session, we'll delve into the latest compliance updates and emerging regulations impacting the advisory industry, providing practical insights to ensure your firm remains ahead of the curve. 

We'll also explore the rapidly expanding role of Artificial Intelligence (AI) in financial advisory, and the critical compliance considerations that will inherently come with enhanced efficiency and an affect on client service. Discover how to leverage technological advancements responsibly while maintaining a robust regulatory framework.

Navigating the New Frontier: Compliance, AI, and the Evolving Advisory Landscape

Semiliquid funds have emerged as one of the fastest-growing categories in the market, with assets skyrocketing beyond $350 billion in 2024. Private credit has taken the lead, fueled by record fund launches and investor demand, while other semiliquid strategies have brought new opportunities.  

Yet, these funds come with challenges, from limited liquidity and complex fee structures to operational hurdles. Are semiliquid funds truly reshaping private market access? Or are these investments creating a new wave of complexity to manage? Is the dramatic rise of private credit sustainable, or should advisors tread carefully? 

Join Morningstar’s Fixec Income Strategies Principal Brian Moriarty, Equity Strategies Principal Jack Shannon, and Multi-Asset Strategy Ratings Senior Principal Jason Kephart as they explore the dynamic world of semiliquid funds, including private credit and equity strategies, interval funds, and nontraded BDCs. Our analysts will walk you through actionable solutions for navigating the risks and unlocking the potential of this booming segment. Gain a clear understanding of how to position portfolios confidently in 2025 amid evolving market conditions. 

We will: 
- Break down private credit’s remarkable rise and its implications for portfolios. 
- Discuss the growing popularity of interval funds and BDCs as vehicles for semiliquid investments. 
- Identify key risks tied to illiquidity, leverage, and fees. 
- Highlight projections for further growth, including expansion into retail and retirement plans. 

Whether you’re guiding large institutional portfolios or helping individual investors, this webinar arms your firm with the tools to take advantage of semiliquid fund opportunities while navigating the risks. Following the presentation, there will be a live Q&A to address your pressing questions.

This webinar has been accepted by the CFP® Board for one continuing education (CE) credit for CFP® designations.

Navigating the State of Semiliquid Funds in 2025

In a crowded and commoditized market, many asset management firms are still relying on the same playbook: performance, fees, and an undifferentiated sales narrative. To stand out in this crowded market, it’s essential to define your differentiation story and align it with proven, modern approaches. 

Join Kristen Capuano, Chief Marketing Officer at VanEck, a leading asset management firm with over $125 billion in AUM. Kristen brings 17 years of experience at VanEck, where she integrates marketing, product, and sales strategies to deliver growth-driven and client-centric business practices.

Attending this webinar provides actionable insights like:  
- How VanEck grew its AUM while keeping end investors in focus  
- A social media and content creation strategy to elevate engagement  
- Best practices for aligning marketing and business units to maximize efficiency  
- Kristen’s perspective on driving innovation and marketing leadership in asset management

Burn the Playbook: A CMO’s Survival Guide to Asset Management

Discover how Morningstar and iCapital are working together to help advisors provide better analysis for mixed portfolios. We're bridging the gap with the ability to leverage powerful iCapital alternative investment data to enhance research, portfolio analysis, and reporting tools. For advisors seeking to blend traditional and alternative investments in their portfolios, the combined Morningstar and iCapital capability provides greater portfolio transparency.

Leveraging Alternatives with Morningstar & iCapital

With inflation cooling, rates in flux, and economic signals sending mixed messages, investors are re-evaluating risk, return, and where to go next. 

In this live Investors First webinar, Morningstar CEO Kunal Kapoor is joined by Philip Straehl, CIO of the Americas at Morningstar Wealth; Preston Caldwell, Senior U.S. Economist at Morningstar, and Toby Moerschen, Managing Director, Private Corporate Credit, Morningstar DBRS. Together, they’ll break down the major market and macroeconomic forces driving the outlook for the second half of 2025—and what it means for portfolio positioning in today’s evolving landscape.

Investors First: H2 2025 Market Outlook

There has been no shortage of volatility this year. US stocks started the year at a rarely seen premium over a composite of our valuations. The weather began to turn as overvalued and overextended AI stocks cracked after the DeepSeek scare. Yet, the brunt of the storm hit after Liberation Day tariffs were announced. Then, as tariffs were put on pause, almost just as quickly, the skies began to clear. The market has become increasingly optimistic that the still outstanding trade and tariff negotiations will be resolved in a way that does not damage the long-term outlook for the US economy.  

But has the storm really passed? Have risks to the market really subsided, or are they just on pause until trade negotiations begin to bump up against their deadlines? 

Join Morningstar’s Dave Sekera, CFA, Chief US Market Strategist, and Preston Caldwell, Chief US Economist for a review of market valuations in light of trade and tariff negotiations, the slowing rate of economic growth, and expectations for monetary policy. Learn how we think investors should be positioned for the potential return of stormy weather or if clear skies remain on the horizon. 

We will: 
- Break down our valuations and identify undervalued opportunities across categories, sectors, and stocks.  
- Highlight long-term secular growth themes as well as investable contrarian plays.  
- Provide our forecasts for real US GDP, inflation, and interest rates. 

By leveraging the 1,600 companies covered by Morningstar's equity analysts, we identify which areas are undervalued versus which are overvalued. From growth stocks to value stocks and from small-cap to large-cap, we will identify where we see value today. Following the presentation, we take as many questions from the audience as time allows.

This webinar has been accepted by the CFP® Board for one continuing education (CE) credit for CFP® designations

Morningstar's Q3 2025 US Market Outlook: Has the Storm Passed, Or Are We in the Eye of a Hurricane?

Efficient performance reporting is essential for effective due diligence. Join us for a live session to explore how Morningstar Direct’s performance reporting capabilities can help you surface key insights faster, simplify complex workflows, and improve team-wide efficiency.  

In this webinar, you’ll learn how to: 

• Navigate Morningstar Direct’s Performance Reporting tool 
• Leverage its advanced functionality to build more impactful reports 
• Analyze, format, and automate performance reports with ease  

We’ll also showcase how Presentation Studio, a powerful module within Morningstar Direct, enables you to design visually striking, professional-grade reports.  

Discover how to use Performance Reporting in Morningstar Direct can help you build custom reports at scale. Our expert speakers will share practical tips to help refine your processes and speed up your reporting efforts.

Build Smarter Reports, Faster: Custom Reporting at Scale with Morningstar Direct

Celebrate the best in active management.

Morningstar is honoring the 2025 U.S. Portfolio Fund Manager of the Year Award winners—winners who stood apart in a challenging market and demonstrated what investing excellence looks like today. 

Part of the Morningstar Awards for Investing Excellence, these honors recognize portfolio managers who deliver exceptional outcomes through skillful decision-making, thoughtful risk management, and deep alignment with investor interests. 

Award categories: 
- Outstanding Portfolio Manager (Equity) 
- Outstanding Portfolio Manager (Fixed Income) 
- Outstanding Portfolio Manager (Allocation) 
- Exemplary Stewardship 

Join us live as we announce each winner, explore the methodology behind the awards, and hear brief Q&As with the portfolio managers themselves. 

Save your spot to: 
- Celebrate the winners of each category 
- Learn what sets these portfolio managers and strategies apart 
- Understand how Morningstar defines investing excellence in 2025 
- Hear from the winners in their own words

2025 Investing Excellence Awards

Public and private markets are converging. As a result, advisors are faced with an expanding menu of options to diversify clients' portfolios into previously inaccessible corners of private markets. In this discussion that’ll be simultaneously streamed live on LinkedIn, Apollo Global Management CEO Marc Rowan and Morningstar CEO Kunal Kapoor will explore the challenges and opportunities facing advisors as they navigate this new territory.

Investors First: Converging Public and Private Markets With Marc Rowan

Interest is surging in what many consider the next big shift in investing: actively managed exchange-traded funds (ETFs). But how quickly is this segment expanding—and are active ETFs proving their value? How do they compare to their passive counterparts? 

Join us for an in-depth exploration of active ETFs and their growing influence on the investment landscape. Our experts will also showcase how Morningstar’s powerful data and tools can be used to generate deeper insights and analysis. 

In This Session, You’ll Learn: 
- Key trends fueling demand for active ETFs, with insights from a seasoned Morningstar research analyst. 
- Which active ETF strategies are gaining traction—and which are struggling. 
- A global look at active ETF growth and performance across the US, EMEA, and other markets.
- How to use Morningstar Direct, our comprehensive investment application, to access active ETF data and perform custom analysis.

Active ETFs: The Next Investing Frontier?

Join us at 11a.m. CST on June 10th for an exclusive webinar that will cover what makes investors investors stick with—and truly value—their advisor. We’ll cover how advisors can integrate AI and technology while maintaining the personal connections that clients value most. 

Led by the Morningstar behavioral research team Samantha Lamas, Danielle Labotka, and moderated by Thomas Aviles, this webinar dives into how generative AI is reshaping the financial advising landscape. You’ll uncover what truly matters to investors when it comes to tech-driven solutions and human expertise, and you’ll discover practical strategies to enhance your workflow while retaining and deepening trust with clients. 

Key Takeaways:
- Gain a clearer understanding of what today’s investors expect from advisors 
- Learn strategies for deepening relationships and strengthening your role  
- Discover smart ways to start using AI to enhance (not replace) your value 

Our panel of analysts will guide you through this dynamic and timely discussion, drawing on their extensive knowledge and research to provide you with essential tools for success. Don’t miss this opportunity to position yourself at the forefront of financial advising’s tech evolution. Register now to secure your spot!

This webinar has been accepted by the CFP® Board for one continuing education (CE) credit for CFP® designations.

Balancing Relationships and AI: What Investors Value in Financial Advisors

The ‘Great Wealth Transfer’ refers to the estimated $84 trillion set to be passed down over the next 20 years, and it is already reshaping the future of wealth management. Nearly half (46%) of wealth managers see this shift as an existential threat to their business. In a landscape increasingly influenced by robo-advisors and DIY investing tools, gaining a competitive edge is more critical than ever. Our solutions can help you attract new clients, build lasting loyalty, and stand out to the next generation of investors. 

Join us to explore how values-based investing can help you grow and retain your business using Morningstar Direct and Sustainalytics’ data and solutions. 

We'll examine the current market landscape and share how you can leverage our independent research, broad data coverage, and advanced portfolio management and reporting tools to create compelling, client-centric narratives. Discover how to meet values-based investing mandates while clearly differentiating your offering in today’s competitive environment.

Navigating the Great Wealth Transfer with Values-Based Investing

Morningstar CEO Kunal Kapoor and BlackRock COO Rob Goldstein explore how the shift toward private markets is reshaping modern portfolios. From long-term investing and the growing role of private credit to advances in transparency and technology, they discuss why the convergence of public and private markets is accelerating—and what it means for building smarter, more diversified portfolios.

Investors First: Unlocking Opportunities in Private Markets

As public and private markets increasingly overlap, semiliquid funds are gaining a lot of attention as access points to private markets. Yet evaluating these complex vehicles, including interval funds, tender offer funds, nontraded REITs and BDCs, ELTIFs, and LTAFs, has remained a challenge. 

In this live webinar, Tom Nations, Director of Research Products, Laura Lutton, Global Head of Manager Research, and Karen Zaya, Associate Director for Multi-Asset and Alternative Strategies, officially launch the Morningstar Medalist Rating for Semiliquid Funds. This forward-looking framework is designed to bring transparency and rigor to a rapidly growing segment of the market. 

What you’ll learn: 
- How the methodology works  
- Why the rating matters for U.S. and global audiences navigating semiliquid strategies 
- How the framework helps identify investments with long-term potential and flags those likely to underperform 
- What Morningstar’s approach to independence means for investment decision-makers 

This session is for anyone involved in navigating the evolving investment landscape who wants deeper insight into how semiliquid funds are being evaluated today. 

Register today.

Morningstar Medalist Rating for Semiliquid Funds: A New Framework for a Converging Market

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

How to Ensure Regulatory Compliance for Advisors Across your Firm

Compliance

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How to Ensure Regulatory Compliance for Advisors Across your Firm

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