Morningstar Inc. Client Solutions
Our client, the Client Solutions Group of a major financial services firm, retains SCA to provide advisors with business solutions for comprehensive industry regulations, such as Regulation Best Interest (Reg BI) and the Fiduciary Rule.
SCA uses its regulatory expertise to assist Morningstar in developing and integrating business solutions within a complex regulatory framework. For instance, we advised Morningstar’s Client Solutions Group on how its tools can be utilized and marketed to help broker-dealers comply with the Department of Labor’s Fiduciary Rule and the Securities and Exchange Commission’s Reg BI Rule when providing services to investors. Alongside the client solutions group, SCA presented the material at industry forums, including SIFMA’s C&L Virtual Forum.