Exempt Market Dealers

  • 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...

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  • 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...

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  • Algorithmic Accountability: With Power Comes Responsibility

    Algorithmic Accountability: With Power Comes Responsibility

    Two important and arguably interdependent revolutions are taking place in wealth management today–a focus on client best interest standards from both ethical and regulatory standpoints and a...

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  • 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...

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  • Adapting to Change with Agile Wealth Management Technology

    Adapting to Change with Agile Wealth Management Technology

    How a business responds to change can make the difference between growth and obsolescence. The wealth management sector, in particular, is on the cusp of major disruption due to changing investor...

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  • Digital Transformation in Wealth Management

    Digital Transformation in Wealth Management

    There is no question that the retail wealth management industry is evolving. Population and advisor aging, digitization toward a hybrid investor experience, rise of fee-for-service, rise of...

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  • Toward the 2025 Canadian Investor

    Toward the 2025 Canadian Investor

    The driving force behind the evolution of the wealth management industry is often attributed to emerging technologies and regulatory demands. But the average Canadian investor is also changing....

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  • Reasons Exempt Market Dealers Need a Book of Record

    Reasons Exempt Market Dealers Need a Book of Record

    Essential to the day-to-day business of Exempt Market Dealers is the adoption of their own Book of Record. A Book of Record is an operational system for process, Exempt Market Dealer compliance,...

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  • What Does 360 Degree Investor Engagement Look Like?

    What Does 360 Degree Investor Engagement Look Like?

    Do your investors have actionable activities to achieve their financial goals? With the rapid evolution of customer needs and technological possibilities, it is becoming harder and harder for...

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  • EMD Compliance - Infographic

    EMD Compliance - Infographic

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  • 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...

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  • Improving Investor Engagement to Retain Customers

    Improving Investor Engagement to Retain Customers

    Take advantage of wealth management technology designed specifically to enhance investor engagement Univeris understands the combination of brand and technology, and how the customer experience...

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  • Still Time to Avoid CRM2 Compliance Mistakes

    Still Time to Avoid CRM2 Compliance Mistakes

    The final phase deadline for CRM2 is quickly approaching. Many see CRM2 compliance as another regulatory burden, but it is actually an opportunity to update mid-office and back-office processes....

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  • Small EMDs Can Also Benefit from Tech Platform

    Small EMDs Can Also Benefit from Tech Platform

    Exempt Market Dealer Platform Scales to Size of EMD No matter the size of your Exempt Market Dealer organization – whether you are a team of one about to enter the business, or a team of a hundred...

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  • Introducing FLEX EMD Technology Platform2:15

    Introducing FLEX EMD Technology Platform

    FLEX for EMD enables EMDs to maximize the benefits of technology, take a step beyond competitors, and differentiate their business. Includes Book of Records, Compliance, Webtop, and Investor Experience

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  • Avoid Common CRM2 Compliance Mistakes

    Avoid Common CRM2 Compliance Mistakes

    Exempt Market Dealers Have to Watch Out for These Common CRM2 Mistakes If you ask anyone in the investment industry what the single most significant trend has been in the exempt market for the...

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  • 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...

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  • 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...

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  • Univeris announces FLEX EMD Winter ’17 Release

    Univeris announces FLEX EMD Winter ’17 Release

    CRM2 Compliance and new investor access to drive dealing representatives success Univeris continues to advance its Exempt Market Dealer (EMD) platform with its new quarterly major upgrade. The...

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  • Make a Regulatory Audit a Stress-Free Event

    Make a Regulatory Audit a Stress-Free Event

    Everything they want to see can be a click away It’s no secret that regulatory initiatives and oversight activities have intensified in recent years. While the pressure to be compliant is being...

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