Client Focused Reforms and Beyond: Client Best Interest is Your Next Competitive Advantage

The deadline to adopt changes outlined in the Client Focused Reforms is coming up. Below is just a snapshot of how we can help you adopt a technology-enabled approach to dealing with these amendments, as well as enabling your client best interest strategy. To learn more, connect with us at success@univeris.com.

  • Client Focused Reforms, Suitability, and Packaged Products

    Client 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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  • Omnibus-as-a-Service

    Omnibus-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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  • 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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  • 7-Technology-Solutions-to-Support-Your-Client-Best-Interest-Strategy-Univeris

    7-Technology-Solutions-to-Support-Your-Client-Best-Interest-Strategy-Univeris

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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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  • 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...

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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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  • Algorithmic Accountability in Wealth Management - Univeris

    Algorithmic Accountability in Wealth Management - Univeris

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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 delivering

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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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