Compliance Solutions



The Univeris platform helps firms successfully manage Governance, Risk and Compliance (GRC) strategies by its integrated and comprehensive Compliance Management module that works throughout a firm from the Advisor front-office through to a Dealer’s back-office operations.

The Univeris Compliance Management module supports and enhances a firm’s overall corporate governance and profile by providing extensive support and coverage in a number of key areas. These areas include risk protection, audit control, corporate security and protection, and regulatory policy and process management. By providing effective management in all of these areas, the Univeris Compliance Management module provides the best protection for Dealers, Advisors and Investors.

  • Point-of-Sale Fund Facts – electronic delivery to CONNECT™ enables a superior investor experience with easy reference to delivered documents at any time
  • PortfolioINSIGHTS™ – a powerful portfolio analysis tool that simplifies your preparation for client meetings
  • SupervisionINSIGHTS™ – comprehensive supervision and review practice that automatically feeds all relevant activity to targeted reviewers