Personal Trading Pre-Clearance
Easily monitor personal trading activity.
EQube Personal Trading Pre-clearance Solution
Simplifies the Approval process and runs Real-Time compliance checks.
EQube's Personal Trading (PT) Pre-clearance system is a comprehensive solution to request and supervise personal trading activity. Employees can seek approval from the organization before engaging in trading activities involving stocks, options, bonds, and other securities. The employee's supervisor reviews the request for approval, and the compliance team ensures adherence to various rules and potential business conflicts of interest with the firm.
Supervisors and compliance officers can use the system to monitor trades in real-time, auto-approve or auto-deny trade requests based on specific criteria, and track the activities of securities on the watch list. It ensures that employees are informed of any limitations before proceeding with their trades, thereby preventing potential violations.
Integrated Environment
EQube Personal Trading system easily integrates with many data sources to promote transparency and accountability, broadening visibility.
FrontOffice systems (CM activity)
BackOffice systems (employee accounts and CM activity)
BlueMatrix (Research)
HR systems for employee feeds
Broker Feeds
API Connectivity
And much more
EQube Reports
This list is a sample of our specialized reports covering employee activity in many formats, including PDF and dashboard views.
Entitlement
Settings
Reviewable exceptions
Trade without approval report
Look backs
OTW activity
Outside activity
Trading ahead
Insider trading
Trade activities found on the Restricted, Gray, or Watch lists
Excessive trading
And much more
Features
Correlation of Personal Trading vs. Firm Activity
IB vs. research clearance
Restricted security groups
Delegation
Statement tracking
Comprehensive workflow
Support for hierarchy for large firms
Email customization
Analytical dashboard
User-friendly UI
Audit trails
And much more
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