Advisory Compliance and Supervision
Solutions to mitigate compliance risks and streamline operations.
Investment Advisor Oversight Using Innovative Approaches.
In a rapidly evolving regulatory landscape, navigating the complexities of Advisory business regulations is no longer a choice but a strategic imperative. Our tailored solutions empower investment advisory businesses to adhere to regulatory obligations seamlessly, enhance client trust, and position themselves as industry leaders. Explore how our innovative approach simplifies compliance, mitigates risks, and propels your business toward unparalleled success in the ever-changing financial landscape.
Written Supervisory Procedures (WSP)
A crucial supervisory tool, it offers personalized features, real-time monitoring, and efficient workflow. With robust capabilities for tracking, reviewing, and managing policy documentation, it maintains an audit trail, ensures timely publication to supervisors, and mitigates the risks associated with non-compliance and regulatory fines.
Regulatory Best Interest (Reg BI)
EQube offers a suite of compliance solutions to meet Regulation Best Interest (Reg BI) obligations, covering Trade and Account Recommendations, Product Reviews, and Suitability. These components assist in reviewing exceptions, monitoring activity against investor objectives, ensuring operational integrity, and maintaining transparency in line with regulatory frameworks.
Personal Trading Pre-clearance
Improve supervision & operations with this cohesive tool for requests & approvals.
Contact Us
DbCom - EQube
Financial Technologies | Regulatory Compliance
2 Research Way
Princeton, NJ 08540
By phone: (609) 651-8222 option 3
By email: sales@dbcomsys.com