Securities brokerage · Canada
Know-your-client updates, suitability documentation, annual reviews, document collection: Probaro runs these sequences and keeps proof of each step. Nothing goes out without a registered person’s approval.
Book a 30-minute callNo software to install. One conversation, then you decide.
These are not organizational failings. This is an obligation that repeats and was never given tooling.
The file comes due: the client is chased, answers are collected, any gap against the previous profile is flagged. The advisor approves before anything is recorded.
What it demonstrates: a blocking human check, timestamped and attributed.
For every recommendation, the supporting elements are gathered and presented for validation. The record is kept with the decision, not beside it.
What it demonstrates: an action with impact preceded by a check, provable afterwards.
Follow-ups go out on their own, incoming documents are filed, incomplete files surface. Anything needing judgement stops and waits.
What it demonstrates: execution continues unattended; the exception is raised.
Univeris and Croesus expose documented interfaces. Equisoft already bridges insurance and securities. Probaro connects to what you use; it replaces neither your portfolio management nor your back office.
You decide your own tools, and you carry the documentation load alone. Know-your-client updates arrive in waves and get done in the evening.
Follow-ups go out on their own, answers are filed, and you step in only to approve. The file stays complete without you thinking about it.
Each advisor documents their own way. When a review lands, the quality of the file depends on who built it.
The same process for everyone, in the same order. The gap between advisors disappears, and you can show it.
The annual review and document collection tie up an assistant for a week every quarter.
What is mechanical runs; what needs judgement stops and waits. The assistant handles exceptions, not the list.
We will not claim Probaro makes you compliant. Compliance with CIRO, the AMF and the Client Focused Reforms rests on your policies, your decisions and your people — not on software.
What we provide is the record: who did what, when, on whose authority, and on what basis. Available and exportable years later, with nothing to reconstruct.
Our servers are in Beauharnois, Canada. Your privacy impact assessment is still required; we document our data flows and subprocessors, which may simplify the part of the analysis dealing with transfers outside Quebec.
A useful question on the first call: if you wanted to change a tool in your office tomorrow, would you decide alone? If it goes to head office, we will say so plainly rather than waste your time.
No. Probaro issues no recommendation and assesses no suitability. It gathers the elements, presents them for validation, and keeps the record of the decision taken by the registered person.
Compliance rests on your policies and your decisions, not on software. What Probaro adds is proof that the verification step happened, when, and on what basis — which is what you must be able to demonstrate.
No. Probaro runs the sequences your team does by hand around your existing tools. Your practice management system, your accounting and your files stay where they are.
In Beauharnois, Canada, with OVHcloud. The site and the orchestrator that receives your requests sit in the same datacentre. The full list of our providers and processing locations is published in our privacy policy.
No, and no software can. The law requires an assessment when adopting a system that processes personal information. What we provide is the document that makes that assessment short to produce: where your data sits, who processes it, which companies it passes through.
We start with a single process, end to end, under real conditions at your organization. You then decide whether we continue.
Thirty minutes. We listen; we present nothing.
