Correspondence
Easily manage and supervise communication.
EQube's Correspondence module provides a platform for members and compliance officers to manage and supervise any form of communication by broker dealers including any financial or investment recommendations, product promotions or services.
Key Features
The ability to submit requests and obtain approval for the proposed type of communication including content, method of communication, materials used, etc.
Ability to enter request details, notes, flag items and keep track of FINRA filings
Recordkeeping capabilities in accordance with regulatory requirements
And much more.
Compliance Regulations
EQube's Correspondence module helps to fulfill FINRA rule 2210 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