Pinpoint Global Communications | LMS, Learning Management Sytem, Compliance, Online Training, eLearning, Learning, Certificates, Certification

Pinpoint’s Compliance Solutions address the most critical needs in today’s regulated environment. Fully SEC 17a-4 compliant, they can be easily tailored to meet your specific needs. Simplify the experience for the user with clean and logical interfaces that make it absolutely clear what they need to do, and when. Easily verify requirements have been met with powerful reporting and user transcripts. Features

SEC 17a-4 Compliant
Online Smart Forms
Configurable Review and Approval Queues
Historical Records for Audits
Supervisory Policies and Procedures
Online Annual Compliance Meetings and Certification Statements
Firm Element Training
Outside Business Activity Systems
Sales Collateral Review Systems
Content Partners Including LIMRA, AHIP and National Underwriters
Continuing Education
Seamless Integration into Client Infrastructure

Risk Management System

Risk Profiles
Outside Business Activity
Sales Material Submission & Review
Annual Compliance Meeting
Annual Individual Review
Cash/Non Cash
Disciplinary Tracking
Firm Element
Advisor Account Review
Social Media Training
Written Supervisory Procedures
NAIC Training

Waddell & Reed

Targets new advisors (Career Readiness Tracks) as well as seasoned advisors (Career Building Tracks)
Critical requirement to deliver/track Firm Element training based on user's registrations (e.g. Series 6 or 7)
Over 35,000 FE course completions in first 12 months
Real-time reporting of all compliance course completions as well as deficiencies (required but not yet completed)
In-house produced courses as well as live event webinars integrated and tracked in the LMS
Integrated user and curriculum administration including live event setup
Full eTopic course catalog, live event calendar and registration

Woodbury

Fulfill the Annual Compliance Meeting requirement for over 2000 field based financial advisors
FINRA Rule 3010 ACM compliant delivery
Included a video presentation as well as key resource documents such as the U4 form and Compliance Manual
Required attestation step to confirm advisor adherence and understanding
Integrated real-time reporting to track completion status for all field advisors. Periodic reports provided incomplete target advisor list for follow up
100% compliance in just 60 days (over 2100 completions)