Pinpoint Global Compliance Systems

Compliance Management Systems

Pinpoint’s Compliance Systems are SEC 17a-4 compliant and provide many of the top financial organizations the ability to stay up to date and compliant with FINRA’s most common regulations. The Compliance systems provide the organization with real-time reporting and detailed auditing tools to allow authorized users the ability to easily review disclosures, alerts or other regulatory information. The compliance systems are configured to client specifications that include look/feel, workflow and form information.

Features:

  • Offers 16 compliance modules to aid in satisfying FINRA regulations
  • SEC 17a-4 compliant
  • Seamless integration into client infrastructure, data feeds and user sign-on
  • Configure system to client specified rules, hierarchy and review/approval process
  • Review/approval process fully customizable including; client specific review queues, email notifications of deadlines and complete review history
  • Scalable—solution supports both small and large firms
  • “Smart Forms” fully customizable to client requirements
  • 100% SCORM conformance—unlimited number of third party content providers
  • Unparalleled tracking and reporting capabilities
  • Look and feel, branding, client requirements and specifications

FINRA Solutions:

  • Comprehensive Risk Profiles
  • Outside Business Activity
  • ADV Part2B Brochure
  • Sales Material Submission and Review
  • Annual Compliance Meeting
  • Annual Individual Review/Annual Compliance Questionnaire
  • Cash/Non-Cash Tracking
  • Disciplinary Tracking
  • Firm Element
  • Government Regulatory Alerts
  • Advisor Account Review
  • Social Media Training
  • Written Supervisory Procedures
  • NAIC Training
  • AuditPro+ Branch Office Exams
  • Department of Labor