Brokerage Account Disclosures

Supervise activity & avoid conflicts of interest.

EQube’s Brokerage Account module addresses an associated person’s obligation to disclose outside activity. The module provides an easy means for employees to submit requests, obtain approval of brokerage account activity, and help firms and compliance officers track and supervise these activities.

Key Features

  • Ability to capture both inside and outside broker employee account details

  • An effortless process to submit declaration forms and obtain approval

  • Ability to track when renewal of attestation(s) and questionnaires are due

  • Send email reminders to an associated person

  • Exception processing & report review

  • Supervisory documentation

    And much more.

Compliance Regulations

EQube's Outside Accounts module helps to fulfill FINRA rule 3210 regulatory requirement.

Contact us.

DbCom - EQube
Financial Technologies | Regulatory Compliance
2 Research Way
Princeton, NJ 08540

By phone: (609) 651-8222 select option 3 
By email: sales@dbcomsys.com