Outside Business Activities (OBA)
A systematic approach to capture employee outside business activity.
EQube's Outside Business Activities (OBA) module provides firms and compliance officers with the ability to track and supervise an employee's outside business activity, in order to eliminate any conflicts of interest. Using a comprehensive workflow process, supervisors and compliance officers can review requests, handle exceptions, track status, and generate reports.
Key Features
Ability to capture entity details such as business nature, type of organization, etc.
Ability to capture business affiliation details such as nature of employee's title at entity, nature of financial investments, etc.
Track number of hours employee will devote to the business affiliate
Supervisory reports
Analysis capability using BI reports and a dynamic dashboard
Robe-based access control
Request & approver delegation feature
WORM storage
And much more.
Compliance Regulations
EQube's OBA 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