Fixed Income Compliance
A comprehensive system to help you demonstrate compliance and manage the various aspects of Fixed Income securities.
Features Sales Blotter and Trade Blotter Modules.
EQube Fixed Income Compliance
Automate and Streamline Supervision for FI
EQube's Fixed Income Compliance System simplifies the processes related to fixed-income securities, ensuring adherence to written supervisory procedures and regulatory obligations. This advanced system incorporates specialized technology to aid compliance officers and supervisors in effectively overseeing operations and demonstrating their diligence to regulators. It preserves transaction records, facilitates reviews, monitors activities, and enables analysis through BI reports and dynamic dashboards by offering a highly secure centralized platform.
-
Sales Blotter
The Sales Blotter allows sales reps, the central review desk, and compliance officers to view customer trading activity, review exceptions, and adhere to ‘Suitability’ regulatory requirements.
-
Trade Blotter
The Trade Blotter module helps traders, the central review desk, and compliance officers view customer trading activity, review exceptions, and generate reports.
FEATURES
-
Dashboard
A dynamic dashboard to conduct summary, exception reviews, and intuitive analysis and reporting.
-
Integration
Integrates with most trading applications & data sources, including Beta, Bloomberg, FINRA, and MSRB.
-
Workflow Reviews & Audit Trail
Automated workflow and review capabilities with access control to facilitate compliance and audit reviews with a detailed audit trail readily available upon an auditor's request.
-
Supervision
BestEx / Fair Pricing Supervision reviews exception summary reports using a workflow-based process that addresses MSRB Rule G-18 requirements.
-
Markup / Markdown
Markup/Markdown exceptions review, automation of exception tracking, and the ability to escalate exceptions.
-
Risk Management
The Risk Management feature provides risk metrics such as position reports, P&L reports, trade volumes reports, mark-to-market reports, risk limits, aged inventory tracking, and counterparty risk reports.
-
Report Card
The Report Card feature is a tabular chart view of municipal or agency securities, corporate bonds, and securitized product types.
-
Trade Level Review (TLR)
The Trade Level Review (TLR) feature allows users to review individual or multiple records, add notes, and flag records.
-
And much more
Fixed Income Reports
The following list is a sample of the extensive range of business intelligence (BI) and clipped reports available for analysis and decision-making. These reports come in many formats and provide valuable insights into organizational performance, risks, and operational gaps.
144A exceptions
Aged inventory report
As of Trades
Excessive commission
Daily trade blotter by a desk
Position reconciliation
Market access report
Best execution exception
MSRB blotters
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