Financial Compliance Solutions
Broaden your supervisory scope, manage risks and demonstrate compliance.
Capital Markets
Sales & Trading
Investment Banking
Research
Operations
Monitoring & Business Modules
Written Supervisory Procedures
Written Supervisory Procedures (WSP) Management
Market Surveillance
Document Management
Retail Brokerage
Advisory Compliance
Advisory Compliance and Supervision
Private Client Group
Product Review
Registration Compliance
Control Room - Conflicts of Interest
COI / COE
Personal Trading Activity
Personal Trading Pre-clearance
Outside Activity
Comprehensive Compliance Solutions
EQube’s comprehensive compliance solutions provide innovative tools to make daily compliance tasks faster and easier.
Control Room Supervision & Firmwide Compliance Solutions
EQube’s Control Room and business modules facilitate oversight of employee activities and improve daily operations.
FEATURED MODULE
EQube Operations Checklist
An enterprise-level task management tool to manage daily, weekly, monthly, yearly, or ad-hock business operational activities. Tasks are tied to a regulatory rule, WSP, or internal policy.
Article
How EQube’s Operations Task Management Solution Can Transform Your Business Operations.
Featured Module
WORM
Protect and preserve your data with E-WORM
Worm Storage Service
Archival data management by D3P vendor
Worm Data Management System
Archival data management by D3P vendor
Written Supervisory Procedures (WSP) Management
An effective way to manage and enforce Written and Supervisory Control Procedures.
Create a seamless WSP review workflow
Respond to auditor’s requests promptly
Reduce the risk of supervisory failures
FEATURED MODULE
Another Module
A secure & efficient solution to capture and manage Public Finance dealings.
Easily track & analyze dealsManage multiple disclosures
Comply with MSRB Rule G-17 & G37, and SEC Rule 15c2-12
Learn more >
Contact Us
DbCom
EQube Financial Technologies | Regulatory Compliance
2 Research Way
Princeton, NJ 08540
(609) 651-8222 select option 3
sales@dbcomsys.com