Financial Compliance Solutions
Broaden your supervisory scope, manage risks and demonstrate compliance.
Winner of the 2024 A-Team Innovation Award!
We are thrilled to receive the 2024 A-Team Innovation Award for Most Innovative Conduct Risk Project.
{Picture: Pravin Khanolkar, President & CEO of DbCom-EQube}
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 MODULES
Document Management
Robust and efficient document management systems are essential in the ever-evolving financial services landscape. At EQube, we have developed a state-of-the-art document management system to meet the highest security, compliance, and operational efficiency standards.
Supports supervision and oversight to ensure activities are compliant with regulatory standards.
Addresses recordkeeping requirements.
Integration & API capabilities
KYC configurable workflows
Secure file sharing
And much more
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