Right Tech Turns EMD Compliance Into Advantage

May 18, 2017

Adhering to EMD compliance doesn’t need to be a burden, as mentioned by PCMA Canada.

Univeris’ recent article feature in Private Capital Markets Association of Canada Magazine, “Turn your Compliance Burden into a Business Advantage”, weighs in on leveraging technology, recordkeeping in KYC + KYP, and attracting dealing representatives and investors.

Univeris’ Vice President of Product Management, Emmanuel Gonnet, provides insight about how—with the right technology, mis-selling in the EMD space becomes virtually impossible.

It’s only a matter of time before EMDs realize how technology-enabled, compliance solutions are a baseline requirement for business success. Univeris offers a platform for EMDs to maximize the benefits of technology, verify that all information is in place, and take a step beyond their competitors. Below, we list some advantages of integrating the platform.

Exempt Market Dealer Portal

The built-in collaboration tools enable EMD Dealing Representatives to work with investors. Role-based activity tracking allows users to set alerts, and review actions and messages all in one place.

Integrated EMD Compliance

The process is far more seamless with statement processing, KYC, KYP, automated CRM2 compliant statement generation, and other regulatory features.

Verification Features

The platform’s automated controls do not allow a deal to close unless every form and client qualification is verifiably in place. Any clients with incomplete KYC information are prevented from engaging in trades.

Univeris is on the forward path of the digital revolution in the investment industry – and it’s headed in the direction of making the failure to meet standards, a thing of the past. When wealth management firms can adapt accordingly to new circumstances, what might appear to be a burden at first can actually be an opportunity for improvement.

To see the full article feature, visit this link here.

To learn more about about the technology options that are right for your firm, fill out the form below.



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