Compliance

  • Client Best Interest in Wealth Management: 3 Univeris Summit Takeaways for Dealers & Advisors

    Client Best Interest in Wealth Management: 3 Univeris Summit Takeaways for Dealers & Advisors

    In Fall 2019, Univeris held its annual Summit in Toronto, Ontario, Canada. The theme this year was Client Best Interest and the full-day conference featured presentations, breakout sessions, and...

    Read Article
  • ×

    Subscribe for the latest content, webinars, and events!

    !
    Thank you!
    Error - something went wrong!
  • Retail Wealth Management Business Model 4.0

    Retail Wealth Management Business Model 4.0

    Over the past three decades, the dominant retail wealth management business model has undergone a significant evolution, shifting in focus from product to distribution to the client. Most...

    Read Article
  • Five Key Wealth Management Trends from In|Vest 2019 in NYC

    Five Key Wealth Management Trends from In|Vest 2019 in NYC

    Last week, the wealth management industry’s largest digital wealth management event —In|Vest 2019: Innovations in Investing, Saving & Advice—took place in New York City. The two-day annual...

    Read Article
  • Learn which compliance solutions are best for you

    Click Here
  • NEO Connect, Univeris and PEAK Financial Group Make PTFs Available to Mutual Fund Advisors

    NEO Connect, Univeris and PEAK Financial Group Make PTFs Available to Mutual Fund Advisors

    NEO Connect and Univeris are proud to announce that PEAK Investment Services, part of PEAK Financial Group (“PEAK”), has become the first mutual fund dealer to offer its advisors direct access to PTFs

    Read Article
  • Client Focused Reforms: Time to Leverage Compliance Technology

    Client Focused Reforms: Time to Leverage Compliance Technology

    In June 2018, the Canadian Securities Administrators (CSA) proposed a set of reforms calling for more rigorous client best-interest regulations. This proposal was met with a strong response from...

    Read Article
  • Check out our RegTech Microservices & APIs

    Learn More
  • 2018 Compliance Resolutions in Action

    2018 Compliance Resolutions in Action

    IIROC and MFDA have published their compliance resolutions. What are your priorities? As it relates to RegTech in Canada, regulators (MFDA and IIROC) have published their annual priorities for...

    Read Article
  • Be A Know-it-All: Know Your Client, Know Your Product

    Be A Know-it-All: Know Your Client, Know Your Product

    Consistently satisfy KYC and KYP requirements with technology designed for advisors. Investors are seeing an increasing number of choice for advice, but advisors have a natural advantage in delivering

    Read Article
  • Be Prepared for Your Next Compliance Sweep

    Be Prepared for Your Next Compliance Sweep

    Is a regulatory audit coming up for your firm? Leverage the right technology and processes to pass with flying colours Does the thought of a regulatory audit may make you cringe? You may be...

    Read Article
  • Right Tech Turns EMD Compliance Into Advantage

    Right Tech Turns EMD Compliance Into Advantage

    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...

    Read Article
  • Univeris Named Top FinTech Company

    Univeris Named Top FinTech Company

    Wealth Professional names Univeris as Top FinTech Company in Canada Univeris’ Vice President of Product Management, Emmanuel Gonnet, and Vice President of Sales & Client Management, John van...

    Read Article
  • Concentration Analysis API – RegTech

    Concentration Analysis API – RegTech

    New RegTech API for concentration and suitability analysis introduced by UNIVERIS The Concentration Analysis API ensures that a comprehensive framework is implemented that allows for prevention...

    Read Article
  • Efficient Investor Onboarding & Compliance Solutions

    Efficient Investor Onboarding & Compliance Solutions

    The investor onboarding process can be more efficient with a unified system designed to support advisors and the compliance process. Investor onboarding is a process that can be long—and perhaps,...

    Read Article
  • Foreign Tax Reporting API – RegTech

    Foreign Tax Reporting API – RegTech

    New RegTech API for Foreign Tax Reporting Introduced by Univeris On the heels of Foreign Account Tax Compliance Act (FATCA), the Organization for Economic Co-operation and Development (OECD) has...

    Read Article
  • loading
    Loading More...