PCG Compliance
Easily manage and oversee private client group activities.
EQube's PCG Compliance module is a user-friendly system that addresses the various tasks related to performing reviews at Account Level, Broker Level, and Trade Level. Supervisors from multiple locations can work from one system to review and approve submissions ensuring effective supervision and adherence to regulatory requirements.
Key Features
Ability to address & document disciplinary letters
Ability to document customer complaints
Ability to prioritize reviews, enter notes, set reminders, etc.
Various data filtering options such as by status, review performed by, from/to date, etc.
Highly configurable workflow process
Analysis capability using BI reports and a dynamic dashboard
Role-based access control
And much more.
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