EQube's Fiduciary Relationship module provides a platform to manage and supervise an employee acting in a fiduciary capacity. Within this module, registered representatives can submit requests and obtain approval prior to any outside business activity, including where registered person acts on behalf of a third party as Trustee, Power of Attorney, Executor, Guardian, Administrator or Personal Representative of an estate, or other capacity.

  • Ability to capture details pertaining to activity such as reason for the role, description of duties, type of relationship, etc.
  • Ability to notify and flag violation or suspicious activity
  • Track start and end date of fiduciary role
  • And much more

    • EQube's Fiduciary Relationship module helps to fulfill FINRA rule 3270 regulatory requirement.

To inquire about any of the items listed above and additional features please speak with a sales representative.