Private Securities Transactions (PST)
A tool to streamline the request & approval process.
The Private Securities Transaction (PST) module allows a firm associate to request a Private Securities Transaction and receive approval from the supervisor before initiating the transaction. The module ensures firms are protecting their client’s best interests by providing supervisors with the means to track and monitor employee transactions. By strengthening supervisory controls and improving the compliance department’s oversight, it ensures compliance following regulatory and firm-wide policies.
The module also aids in streamlining and securing the request and approval process. Access to view requests and to conduct reviews is based on workflow and role. Requesters and Approvers, such as Supervisors and Compliance officers, receive notifications and have many additional features and functions at their disposal to quickly and efficiently expedite this process.
Key Features
Access-driven & configurable workflow
Flagging of auto-rejected items
Customizable form fields & questions
Action triggered email notifications
Report generation in various formats
Delegation capabilities
Detailed audit trail of entire process
BI reports (department-wise and summary)
And much more.
Compliance Regulations
EQube's PST module helps to fulfill FINRA Rule 3280, regulatory requirements.
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