DbCom Inc.

DbCom Inc. is a financial technology firm based in Princeton, New Jersey, whose main product is EQube, a compliance automation tool. EQube helps broker-dealers, investment advisers, banks and capital markets firms cut regulatory risk through managed workflows. The firm also offers system integration and database and cloud migration services.

What DbCom Inc. offers

• Employee compliance: pre-clearance of personal trades, outside business activities, political contributions, gifts and entertainment, and annual attestations.
• Trade surveillance: real-time and post-trade monitoring, detection of wash trades and spoofing, and anti-money laundering checks.
• Fixed income compliance: monitoring of execution quality, fair pricing checks and mark-up and mark-down disclosures.
• KYC and regulatory reporting: customer due diligence and Consolidated Audit Trail CAIS submissions.
• Records and communications: electronic communication supervision and books-and-records retention under SEC rules 17a-3 and 17a-4.
• System integration: database and cloud migration and infrastructure monitoring tools.

Who it serves

Broker-dealers, investment advisers, banks, municipal advisers and capital markets firms.

Key facts

• Based in: Princeton, New Jersey
• Product: EQube compliance software
• Rules covered: includes FINRA Rules 3270, 3220 and 2232, and MSRB Rule G-15