Consolidated Audit Trail (CAT) Life Cycle Viewer
Simplify CAT file reviews
Easily research rejections
Be prepared to respond to regulator inquiries
Introducing CAIS portal
Are you finding CAT reviews challenging?
Reading and searching through a CAT file is not an easy task for anyone and with this new and more detailed report, the challenges only increase. With EQube, we’ve simplified CAT reviews and have provided a user-friendly and highly efficient interface. EQube has an integrated, robust CAT viewing tool that assists compliance and operations with managing the entire lifecycle of an order.
The EQube CAT Viewer allows firms to complete thorough and comprehensive reviews of all order flows by utilizing relevant data and dynamic dashboards to assist in painting a complete picture by providing:
Daily CAT Review Tool - transforms hard to read CAT format reports into an easier readable format.
CAT monitoring & feedback monitoring
A research tool that aids in responding to rejections
A reporting tool that assists in responding to regulatory inquiries
Notable Features
Easy reading and fast searching of cryptic CAT files
Dynamic analytics and visualization
Inclusive life cycle checks
Easy access-driven workflow reviews
Acknowledgment of file success or failure
File integrity checks
Time stamped audit trail
Notes and attachment feature
And much more
CAIS Portal
Account Management | Reporting | Feedback Management
Create successful and consistent CAIS submissions
Maintain account data and related information in a secure database, instead of a spreadsheet or a shared drive
Keep track of any changes to customer data while securely receiving, storing, updating, and submitting to FINRA CAIS
Error validation and assistance with rejects and resubmissions
Cloud-based account document management that also facilitates account onboarding
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