Compliance

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...

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...

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...

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...

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

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...

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...

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

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...

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...

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...

New RegTech API for concentration and suitability analysis introduced by UNIVERIS The Concentration Analysis API ensures that a comprehensive framework is implemented that allows for prevention...

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,...

New RegTech API for Foreign Tax Reporting Introduced by Univeris On the heels of Foreign Account Tax Compliance Act (FATCA), the Organization for Economic Co-operation and Development (OECD) has...