Regulatory Disclosures

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Morningstar Investment Management Australia Ltd and Morningstar Australasia Pty Ltd hold Australian Financial Services Licences from the Australian Securities and Investments Commission. 

Morningstar Associates, Inc. is a registered portfolio manager with the securities commission in 10 Canadian provinces. 

DBRS Limited is registered as a designated rating organization (DRO) with the Ontario Securities Commission (OSC), the principal regulator, and is a NRSRO affiliate of DBRS, Inc.

Morningstar (Shenzhen) Ltd holds a Quantitative Fund Evaluation Licence issued by the Asset Management Association of China.

The Morningstar Investment Management Europe Limited Dubai Representative Office is regulated by the DFSA as a Representative Office.

European Union
DBRS Ratings GmbH (Germany) is a credit rating agency registered in accordance with Regulation (EC) No 1060/2009 of the European Parliament, amended by Regulation (EU) No 513/2011 and No 462/2013 on CRAs, and is a NRSRO affiliate of DBRS, Inc., and DRO affiliate of DBRS Limited. 

Morningstar Investment Consulting France is a Financial Investment Advisory Company registered under number 13000326 with ORIAS and registered under number D003806 with the CNCIF, an Association approved by the AMF.

Morningstar Investment Consulting France, Société de conseil en investissements financiers, Immatriculée sous le n° 13000326 auprès de l’ORIAS, Enregistrée sous le n° D003806 auprès de la CNCIF, Association agréée auprès de l’AMF.

Hong Kong
Morningstar Investment Management Asia Limited holds a Type 4 (advising on securities) licence issued by the Securities and Futures Commission of Hong Kong.

Morningstar Investment Adviser India Private Limited is licensed and regulated by the Securities and Exchange Board of India as a Registered Investment Adviser.

Ibbotson Associates Japan, Inc., a wholly owned subsidiary of Morningstar, Inc., is registered as an Investment Adviser with the Financial Services Agency of Japan.

Morningstar Korea Ltd is licensed and regulated by the Financial Services Commission of Korea as a registered fund assessment company and a Quasi Investment Adviser.

New Zealand
Morningstar Australasia Pty Limited is a Registered Financial Service Provider and holder of a transitional Financial Advice Provider (FAP) licence with the Financial Markets Authority. Morningstar Research Limited is an Authorised Body covered by the transitional FAP licence of Morningstar Australasia Pty Limited.

Morningstar Investment Adviser Singapore Pte Limited holds a financial adviser’s licence issued by the Monetary Authority of Singapore to provide financial advisory services pertaining to securities and collective investment schemes in Singapore.

South Africa
Morningstar Investment Management South Africa (Pty) Ltd is an authorised financial services provider (FSP 45679) regulated by the Financial Services Conduct Authority. 

United Kingdom
Morningstar Investment Management Europe Limited is authorised and regulated by the Financial Conduct Authority to provide services to Professional clients. 

United States
Morningstar Investment Management LLC, Morningstar Investment Services LLC, and Morningstar Research Services LLC are registered with and governed by the United States Securities and Exchange Commission.

DBRS, Inc. is registered with the United States Securities and Exchange Commission as a Nationally Recognized Statistical Rating Organization (NRSRO) and is a DRO affiliate of DBRS Limited.