Cash / Non-Cash Compensation
Easily manage activity, store records and comply with regulatory rules.
Cash/Non-Cash Compliance. Picture of a sac with a money sign and a shield.
EQube's Cash / Non-Cash Compensation module provides a platform for associated persons to submit requests and obtain approval before initiating any related activity.
Following COVID, FINRA has updated the Cash Non-Cash Compensation requirement to address interactive virtual business entertainment, event, or meeting. Learn More.
Key Features
A central platform to manage & track requests and approval(s) for in-person or virtual activities such as training, business entertainment, and events.
Ability to enter details for requester such as RepID, branch name, etc.
Captures details related to the event/entertainment such as dollar amount
Attach files such as receipts
Ability to enter and track vendor support/contribution information
WORM storage retention
Ability to easily retrieve records
And much more.
Compliance Regulations
EQube's Retail Cash/Non-Cash Compensation Module helps to fulfill FINRA rules 3221 and 3222 regulatory requirements.
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