Pinpoint compliance modules simplify the never-ending data collecting, tracking and record-keeping necessary to keep your firm compliant with SEC regulations.
REQUEST A DEMO The compliance process has become more difficult to keep up with and to follow. The risk of not being compliant with SEC and FINRA can result in large fines and bad press.
To ensure you and your advisors are doing business according to the SEC’s requirements, you must have a rock-solid compliance program in place.
Pinpoint Global’s compliance modules make it easy to
DELIVER, MONITOR AND REPORT
on assigned compliance requirements.
Pinpoint compliance modules include multiple modules that satisfy SEC requirements. Real-time reporting and detailed auditing tools are at your fingertips. Seamlessly integrating into your firm’s infrastructure, Pinpoint compliance solutions are configured to your specific needs and requirements and supports your hierarchy, submission and review workflow processes. The reporting features decision ready data enabling you to manage a more proactive compliance program.
Pinpoint Global has been providing online compliance services for the largest financial services companies for over 20 years. Now we’ve tailored it to your RIA business.
“Automating these compliance requirements will save our firm, and RIA firms like us, months of laborious work while providing us SEC 17(a)-4 gold record storage. The Pinpoint solution really fills a void in today’s market.”
Pinpoint compliance SaaS modules for RIAs are an efficient and affordable way to streamline and grow with changing regulatory and risk landscapes. Pinpoint compliance solutions are modular and customizable. With over 20 compliance modules Pinpoint's solutions allow you to meet your firm’s needs both today and into the future. Add only what you need when you need it at an affordable monthly subscription.
Pinpoint compliance modules include the tools you need to stay compliant no matter the regulatory landscape. Information is at your fingertips for review, reporting, and audits.
Get decision-ready data and Gold Record storage with all of Pinpoint Global’s modules. They provide the most comprehensive risk management and supervisory solution in the financial services industry.
Pinpoint Global has bundled the three most utilized modules for efficiency and savings.
Support for real-time documentation of client financial planning discussions stored in a SEC 17(a)-4 compliant manner.
Record all receipts of checks and securities to ensure all required documentation is recorded and forwarded in a timely manner.
Effectively and easily record and monitor all gifts and entertainment coming in and going out.
Pinpoint’s compliance modules are branded for your firm. Each will allow you to review and monitor data, forms and progress for detailed tracking and reporting.
Each compliance module comes with its own detailed report that is accessible online, anytime. Run reports on demand, or set preferences and delivery frequency to have reports automatically delivered to your inbox for periodic checkups — so you always know where your team stands.
All of your data within Pinpoint modules is encrypted and fully redundant to protect your information from being lost or compromised — making sure that your data will always be there to tell the whole story, should your firm be audited. Pinpoint’s Gold Record storage provides you peace of mind.
Pinpoint provides clients with dedicated customer support professionals. No call centers or waiting days for an email response — just friendly, knowledgeable people committed to your success.
See how Pinpoint Global’s compliance modules make it easy for your RIA to deliver, monitor and report on assigned compliance requirements.
We improve our products and advertising by using Microsoft Clarity to see how you use our website. By using our site, you agree that we and Microsoft can collect and use this data. Click for more details.
We partner with Microsoft Clarity and Microsoft Advertising to capture how you use and interact with our website through behavioral metrics, heatmaps, and session replay to improve and market our products/services. Website usage data is captured using first and third-party cookies and other tracking technologies to determine the popularity of products/services and online activity. Additionally, we use this information for site optimization, fraud/security purposes, and advertising. For more information about how Microsoft collects and uses your data, visit the Microsoft Privacy Statement.
Digital Marketing Service ProvidersWe periodically appoint digital marketing agents to conduct marketing activity on our behalf, such activity may result in the compliant processing of personal information. Our appointed data processors include:(i)Prospect Global Ltd (trading as Sopro) Reg. UK Co. 09648733. You can contact Sopro and view their privacy policy here: http://sopro.io. Sopro are registered with the ICO Reg: ZA346877 their Data Protection Officer can be emailed at: dpo@sopro.io.
Our carefully selected partners and service providers may process personal information about you. Click here for more details.