Univeris – Flex for EMD

Exempt Market Digital Platform

  • 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,...

    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
  • 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....

    Read Article
  • 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...

    Read Article
  • 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...

    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 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...

    Read Article
  • 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...

    Read Article
  • Recruit and Retain the Best DRs

    Recruit and Retain the Best DRs

    The role of superior back- and front-office technology An exempt-market dealer (EMD) is only as good as its dealing representatives (DRs). That means hiring the industry’s best DRs should be a top...

    Read Article
  • EMD Compliance: From Burden to Opportunity

    EMD Compliance: From Burden to Opportunity

    Exempt Market Dealers must use technology to turn compliance into a competitive advantage Ask anyone in the investment industry to identify the single most significant trend in the last five...

    Read Article
  • Exempt Market Dealers Business Technology

    Exempt Market Dealers Business Technology

    5 Reasons for Exempt Market Dealers to use technology for their business The private placements, also known as Exempt Market space is a fairly new segment of the wealth management and investment...

    Read Article
  • Unified Tech Solutions as Prospecting Tool for DRs

    Unified Tech Solutions as Prospecting Tool for DRs

    Today’s clients demand user-friendly, tech-based access   The digital revolution is steamrolling ahead – and there’s no stopping it. Electronic, mobile access to everything from music to...

    Read Article
  • loading
    Loading More...