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Read ArticleClient Focused Reforms, Suitability, and Packaged Products
New Suitability requirements likely to energize ETFs, PTFs and Mutual Funds The recent client-focused reforms (CFRs), amendments to National Instrument 31-103, require advisors and firms to...
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Read ArticleOmnibus-as-a-Service
Key Trading API for the Enterprise There is no question that offering ETFs, PTFs, Mutual Funds, Seg Funds, Savings, and GIC is crucial to wealth managers. Considering the upcoming targeted...
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Read ArticleTop Reasons to Offer Guided Online Investments Today
Online investing has seen major growth in the past ten years. Growth in online investing is only expected to continue, if not accelerate, in the next decade or so. But even with past and projected...
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Read Article3 Reasons ETFs Belong in a Portfolio
Exchange Traded Funds (ETFs) have been in existence for nearly three decades but it wasn’t until recently that they have grown in popularity. And it isn’t hard to see why from an investor’s...
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Read ArticleClient Focused Reforms Technology Will Ease Adoption
Earlier this month, the Canadian Securities Administrators (CSA) published the long awaited notice of amendments to its Client Focused Reforms. As we’ve noted in a previous post, the original...
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Read ArticleClient 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...
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Read ArticleRetail 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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Read ArticleFive 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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Read ArticleNEO 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
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Read ArticleHow to Build a Hybrid Advisor Model
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Read ArticleAlgorithmic 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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Read ArticleGoal Tracking and Machine Learning Enhance the Client Experience
From mass customization and customer-centricity to client best interest and targeted reforms, it’s all about the client experience in wealth management today. Naturally, gaining a better...
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Read ArticleClient 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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Read ArticleAdapting 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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Read ArticleIRIS: The Ultimate WealthTech Middleware
Wealth management firms are investing heavily in technology to meet client demands and market opportunities. Many firms operate a complex ecosystem for their various lines of business, with an...
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Read ArticleDigital 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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Read ArticleToward 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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Read ArticleMass Customization in Wealth Management
Offering a better customer experience through personalization Mass customization in wealth management, a method of meeting the individual needs of clients through efficient mass-production...
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Read ArticleCountdown to Client Best Interest Regulatory Obligations
The next wave of regulatory requirements link together KYC, KYP, and KYA A lot has been written about the creation of client best interest principles or fiduciary responsibilities in the Canadian...
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Read ArticleWelcome to the Era of Customer Centricity in Wealth Management
A look at how technology puts investors front-and-centre As technology continues to drive rapid evolution in wealth management, we’ve seen the industry’s focus shift over time from product,...
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