EQube's Advisory Supervision module is designed to monitor Registered Investment Adviser (RIA) activity and ensures that these employees with certain access, known as access persons, are adhering to the SEC Investment Advisers Act and firm's ethical standards.

Advisory Supervision Provides

• Oversight of Access Persons and their primary accounts
• An automated and systematic process to identify Access Persons
• Compliance officers with a central system to manage records and review documentation
• A great level of transparency in terms of portfolio, account and Access Persons relationship with customer
• Ability to track and report trading patterns
• Trade exception reporting
• And much more

Evidence-based reports for Compliance and Supervisors to review and document electronically such as

• Rep Change on Account
• New Access Person
• Yearly Holdings report
• Look-back +/- Number of days trading area of customer

Personal Trading

• The Personal Trading Pre-clearance tool facilitates the request & approvals workflow process.

Surveillance

• Access Person Identification - various criteria are used to identify Access Persons such as certain designations, association with accounts, etc.
• Access Person Trading - Business Intelligence (BI) module provides reports such as various Trading Ahead patterns, Daily Reviews, Initial & Yearly Holdings, etc.