Fiduciary Relationship
Manage and supervise fiduciary relationships.
EQube's Fiduciary Relationship module provides a platform to manage and supervise an employee acting in a fiduciary capacity. Within this module, registered representatives can submit requests and obtain approval prior to any outside business activity, including where registered person acts on behalf of a third party as Trustee, Power of Attorney, Executor, Guardian, Administrator or Personal Representative of an estate, or other capacity.
Key Features
Ability to capture details pertaining to activity such as reason for the role, description of duties, type of relationship, etc.
Ability to notify and flag violation or suspicious activity
Track start and end date of fiduciary role
Detailed audit trails
A customizable workflow process
Supervisory documentation
And much more.
Compliance Regulations
EQube's Fiduciary Relationship module helps to fulfill FINRA rule 3270 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