Powerfully Simple Compliance Solution

The most trusted financial institutions use EQube to reduce risk, ensure regulatory compliance, and improve operational efficiency through intelligent workflow management. EQube by DbCom Consulting provides comprehensive compliance automation software for broker-dealers, investment advisers, banks, and capital markets firms.

Employee Compliance Solutions

• Personal Trading Pre-Clearance – Automate pre-clearance and blackout period enforcement for employee securities transactions.
• Outside Business Activity (OBA) – Capture and review outside business activities and private securities transactions under FINRA Rule 3270.
• Political Contributions – Prevent pay-to-play violations with automated pre-clearance under SEC Rule 206(4)-5.
• Gifts & Entertainment – Track, pre-clear, and report gifts and entertainment under FINRA Rule 3220.
• Public Appearances – Pre-approve employee speaking engagements and media interviews.
• Certifications & Attestations – Automate annual compliance certifications and policy acknowledgments.
• Conflicts of Interest Management – Identify, escalate, and resolve conflicts across business lines.

Trade Surveillance Solutions

• Market Manipulation Detection – Detect wash trading, spoofing, layering, and other abusive trading patterns.
• Trade Monitoring & Surveillance – Real-time and post-trade surveillance across all asset classes.
• Anti-Money Laundering (AML) – Automate transaction monitoring and SAR filing under the Bank Secrecy Act.
• KYC Checks & Customer Due Diligence – Streamline onboarding, EDD, and ongoing customer risk assessment.
• CAT CAIS Compliance – Automate Consolidated Audit Trail CAIS submissions and error remediation.
• Correspondence Management – Monitor and supervise electronic communications across email and chat.
• Control Room & Information Barriers – Manage watch lists, restricted lists, and information barriers.

Fixed Income Compliance

• Best Execution Monitoring – Monitor and document best execution obligations for fixed income transactions.
• Fair Pricing Compliance – Ensure pricing fairness with automated analysis and exception workflows.
• Mark-Up / Mark-Down Compliance – Automate calculations and disclosures under FINRA Rule 2232 and MSRB Rule G-15.
• Public Finance Engagement – Track municipal advisor engagements and MSRB compliance.

Contact DbCom Consulting, Inc. at 2 Research Way, Princeton, New Jersey 08540 • Phone: (609) 651-8222