Security Clearance Management
A better way for research to obtain security clearance & avoid conflicts.
Research Oversight & Compliance.
EQube's Security Clearance module provides the research department a means to obtain security clearance from compliance before initiating any activities on securities that may be on the Watchlist, Restricted List or Quiet List. Compliance officers can view and manage these requests and sustain security restrictions.
Features
Dashboard view of symbol, issuer, description and restriction status
Various data filtering by date, symbol, restriction type and status
Audit trail with time-stamping
Various export options
View exception reports
Highly configurable workflow
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