Equities Compliance
A better way to demonstrate adherence to strict regulatory requirements and federal securities laws.
Features the CAT Life-Cycle Viewer tool.
Efficiently streamline the supervision of equities transactions.
The Equities Capital Market platform provided by EQube presents a seamless and efficient option for compliance officers, sales & trading departments to effectively manage and regulate various facets of equity securities transactions on domestic and international levels. This platform ensures adherence to Written Supervisory Procedures (WSP) regulations while fulfilling regulatory obligations by providing advanced tools for exception analysis, supervision, and oversight.
Features
Integration capabilities with OMS & back-office systems, including Bloomberg, Beta, Fidessa, knight Trading, and Realtick.
Trade Level Review (TLR) feature allows users to review individual or multiple records, add notes, and flag records.
The cancel-Rebill feature allows traders and salespeople to place cancel and rebill requests.
Reporting Tools - Clipped (frozen) and Business Intelligence (BI) reports.
Report Reviews - review reports from OMS/OES such as CAT and Trade blotter reports.
The trade Error reporting feature allows the trader and salesperson to place error requests.
The Equities Ticket tool facilitates FINRA submissions, assists the middle office, and provides front-office trade support.
The Risk Management feature provides various risk metrics for international & domestic trading.
Dashboard view of review summary, exceptions, and operations.
Analysis capabilities - the system sorts and organizes the information in various formats for easy analysis, including dynamic dashboard visuals.
Workflow & Review Tools - help facilitate compliance and audit reviews
Access Control mechanism so users can have access to the appropriately designated content and provide the ability to create an auditor's portal.
Audit Trails - detailed and readily available when requested by auditors.
WORM data storage assists firms in securely preserving their data and addresses SEC rules 17a-3 and 17a-4 compliance requirements.
And much more
Equities Reports
Below are a few examples from the vast selection of Business Intelligence (BI) and Clipped Reports utilized for in-depth analysis and informed decision-making.
These reports are available in various formats, offering valuable perspectives on organizational performance, potential risks, and areas requiring improvement.
3% commission report CTP
Cancel/Rebill
Daily trade report
Daily trade volumes
Execution at close
Intermarket front-running
Buyside liquidity report
Customers’ short sale report
Consolidated Audit Trail
Learn how our CAT Life cycle viewer can help you monitor CAT feedback, view events using a dynamic dashboard, and conduct rejection searches more efficiently.
Contact Us
DbCom - EQube
Financial Technologies | Regulatory Compliance
2 Research Way
Princeton, NJ 08540
Phone: (609) 651-8222
Email: sales@dbcomsys.com