Account Document Management

A secure means to organize, track and manage sensitive documents.

EQube Account Document Management

A Secure Recordkeeping and Supervision Platform.

EQube's Account Document Management solution is an all-encompassing and robust system that financial firms can use to manage their Recordkeeping and Supervision obligations. This highly secure, data-centric tool is ideal for any financial company looking to centralize and secure sensitive documents while significantly improving its operations.

The Account Data Management system uses specialized technology to maintain document integrity and ensure they're Accessible, Traceable, Searchable, and Safe. The system also addresses various regulatory rules, including WORM storage 17a-3 & 17a-4, books & records, and firm-wide security standards, such as encryption with key management.

  • DocuSign integration for account onboarding with workflows and e-signatures.

    Customer KYC documentation is stored directly in the database.

  • DocuSign templates with FINRA-CAIS database and FINRA interface.

  • Ability to sub-categorize documents for every account.

    Customers can create their categories.

Document Hosting Software & WORM Compliance

The challenge with document-hosting software such as Google Drive, Dropbox, and others is that they do not meet regulatory WORM storage requirements.

EQube provides cloud-based as well as on-premise WORM long-term storage.

Features

  • Access & Version control

  • Encryption with Key Management

  • Audit all activity and access

  • Ability to classify and categorize documents by account type, trading type, and status

  • Expiry and due dates tracking

  • Able to search by criteria such as names, types, account numbers, date ranges, branches, and more.

  • Simple drag/drop upload of documents

  • Supports PDF, Excel, and email messages with attachments.

  • Configurable document requirements (mandatory or optional)

  • Support of Disaster Recovery

  • Eliminates the cost of physical storage

    And much more.

Featured Article

Yes, my data is secure in the cloud.

Contact us.

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

Phone: (609) 651-8222 select option 3 
Email: sales@dbcomsys.com