Related Features
Learn about other features of Direct Advisory Suite.
Regulation and CFR Compliance Tools
Meet the standards of Canada’s Client Focused Reforms, accessibility laws (AODA), and bilingual requirements (Bill 96). Advisors can screen investments and underlying holdings using Morningstar risk methodology or the firm’s risk, performance, and fee criteria.
Due Diligence Module
Ensure advisors compare their recommendations to reasonably available or a reasonable range of alternatives from your firm’s product shelf.
Notes can be added directly into the workflow for any funds that don’t meet suggested investment criteria, providing complete documentation on a final recommendation.
Enterprise Analytics Dashboard
Monitor how proposals stack up against the Client Focused Reforms.
The Compliance Dashboard flags client-facing reports for review if they fail to meet your key proposal criteria, helping your team achieve targeted regulatory oversight. Customize the parameters to ensure alignment with the nuances of your compliance programs.
Scenario Builder
Evaluate investment choices when testing portfolios on past performance or hypothetical scenarios.
An interactive, hypothetical-scenario tool with flexible parameters for compliance teams to set firm-specific compliance programs. Equip advisors with the tools they need to personalize their recommendations.
Morningstar Risk Ecosystem
Meet the higher standard of client care associated with Canada’s Client Focused Reforms.
Meet the know-your-product and know-your-client regulatory requirements in a single workflow. Match your client’s risk profile and financial goals to your investment recommendations to demonstrate “best interest” advice for each unique investor.
