Watch List Management
Dynamically manage your firm’s Watch List, Restricted List & Quiet List securities.
Investment Banking Oversight.
EQube's Watch List Management module for Investment Banking groups helps monitor securities on the Watch list, Restricted list, and Quiet list. The module provides oversight of Watch list activities that can be easily managed with innovative tools and features to prevent violations and non-compliance. Authorized users can oversee the entire management process of the firm's Watch list, Restricted list, and Quiet list exceptions by providing an easy audit trail to investigate any flagged items, review notes, and reporting capabilities.
Features
Detailed OTW (over-the-wall) audit trail
Various data filtering options such as by symbol, date, active/inactive and aged
Ability to track the date of first contact, expected timing and security by region
Review notes, documentation & look back reports
Ability to set notifications of when changes occur
Delegation capabilities
Supervisory & BI reports
Role-based 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