Exempt Market Dealers

Exempt Market Dealers

Exempt Market Dealers (EMD) represent a dynamic and growing sector in the financial services industry. EMDs serve accredited and sophisticated investors and therefore must provide a level of service to dealing representatives and investors that reflects their expectations, while managing their firm’s risk and keeping their advisors and business compliant with regulators.

With Univeris, Exempt Market Dealers are able to provide a high level of service through solutions that encompass the entire spectrum of interactions, Know Your Client, Product Shelf Management, end-to-end trade management and compliant report creation. The Univeris system is the ideal record management system – it combines business expertise, security, data integrity, compliance with a user-friendly user interface.

Univeris offers a platform with all the attributes necessary for Exempt Market Dealers to maximize the benefits of technology, take a step beyond their competitors and differentiate their business.
To learn more, please visit Univeris’ FLEX EMD offer.

How Univeris Supports Exempt Market Dealers

  • Industry-leading onboarding and transaction processing
  • Contact-based structure for client and prospect management
  • Secure investor access with WebCONNECT™
  • CRM2 compliant statement generation
  • Comprehensive supervision and review practice
  • Full suite of compliance-related solutions that ensure adherence to both regulators and your internal policies and procedures
  • Digital management of Know Your Client (KYC) and Know Your Product (KYP)
  • Portfolio reporting
  • Document and forms management