Gifts & Gratuities
Ensure gift activity follows regulatory and firm requirements.
Gift Supervision & Oversight.
The Gifts & Gratuities module provides a platform for firms to manage, maintain records and supervise gift-giving and receiving.
EQube's dynamic forms capabilities address any governing regulatory body (i.e., FINRA, IIROC, OSC, ESMA, APRA, etc.) gift regulatory rules and firm-wide supervisory procedures.
Features
Ability to enter gift details such as the value of the gift, the reason for the gift, relation to the recipient, etc.
Captures information pertaining to the gift giver and recipient such as state of residence, affiliations, etc.
Ability to control dollar amount thresholds as to when to receive violation notifications
Detailed audit trails
Exception processing & report review
Supervisory documentation
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