Retail Communication
A tool to heighten supervision and manage communication.
Introducing a better way to supervise communication.
The Retail Communications system offers a professional platform for companies and compliance officers to effectively oversee and control all types of communication with retail investors or the general public..
Key Features
Ability to submit requests and obtain approval for activities such as advertising
Ability to track FINRA fillings
Capture request details such as the method of communication and types of materials used
Ability to track vendor support/contribution
Supervisory reports
Request & approver delegation capabilities
WORM storage
And much more.
Compliance Regulations
EQube's Retail Communication module helps to fulfill FINRA rule 2210 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