Securities Brokers

  • How to Build a Hybrid Advisor Model

    How to Build a Hybrid Advisor Model

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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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  • Goal Tracking and Machine Learning Enhance the Client Experience

    Goal 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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  • 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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  • IRIS: The Ultimate WealthTech Middleware

    IRIS: 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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  • 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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  • Mass Customization in Wealth Management

    Mass 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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  • Countdown to Client Best Interest Regulatory Obligations

    Countdown 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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  • Welcome to the Era of Customer Centricity in Wealth Management

    Welcome 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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  • Three Key Wealth Management Trends – And How to Prepare for Them

    Three Key Wealth Management Trends – And How to Prepare for Them

    A Year-in-Review: Wealth Management Trends in 2018 Powered by a stream of new regulatory obligations, with robo advisor technology as a catalyst, the wealth management industry continues to change...

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  • Wealth Management Trends by Market Analysts in 2018

    Wealth Management Trends by Market Analysts in 2018

    New regulatory obligations coupled with a stream of new financial services and wealth management technology continue to accelerate the evolution of the industry. Among the top wealth management...

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  • 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...

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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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  • 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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  • 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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  • 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,...

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  • Software Build vs. Buy: The Problem with “Build”

    Software Build vs. Buy: The Problem with “Build”

    Traditional financial services companies are now investing tons of money into developing their own software. But should wealth management firms be following along on this trend?    To keep up with...

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