Univeris Book Of Records

Book of Records

    • Our brokerage accounting technology and Exempt Market Book of Records enables dealers to accurately keep track of all accounts, trades, KYP, KYC, prices and other important data.


    • Our rules engine enables auditing (email, activity and document logging), product due diligence, client eligibility, suitability, pre-trade supervision and many other processes. Fully compliant with CRM2 and other regulatory changes, our digital platform offers an efficient and user-friendly on-screen experience.

Univeris Compliance
Univeris Investor Experience

Investor Experience

    • Investors can use all their devices to interact digitally. And this goes well beyond account access. Soon clients will also be able to use Skype securely with DRs, sign documents electronically and so much more.

Dealer Representative Webtop

    • We’ve implemented guided workflows with electronic forms, making it easy for DRs to follow a compliant process and get things right the first time. Real-time technology makes it easy for DRs to see the exact status of all activities – on the road or in the office.

Univeris Dealer Representative Desktop

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Univeris is the definitive, enterprise-level and unified system for wealth management through its integrated management of back office operations, retail product distribution and compliance requirements, and a front office practice management system for dealing representatives. Let Univeris take your business to the next level.