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Compliance done right

Automated data driven workflow

Configured to your workflow, completed forms are automatically routed to the proper gatekeepers for review. Pinpoint’s unique submission tracker shows users real-time status of submissions right on the submission form.

Online forms

Transform paper forms to online fillable forms, increasing efficiency and trackability. Digital forms feature branching and logic to simplify complicated forms and automatically detect errors. Key features include:

  • Custom fillable forms 
  • Customer created forms
  • User feedback
  • Real-time status

Real-time system and data accessibility

The system and all books and records data are accessible 24/7 to users and administrators.

Tracking and reporting with dashboards

The integrated reporting console provides access to real-time reports and customized dashboards. Utilize Pinpoint’s recurring reports module to set preferences and delivery frequency to automatically send reports to compliance management and other stakeholders. With Pinpoint’s tracking and reporting capabilities you will always know the status of all compliance requirements.

Customizable modules

Pinpoint has over 20 customizable, SEC 17a-4 compliant modules to meet all your requirements. Add only what you need as you need it.

  • Advertising Review
  • Advisory Account Review
  • ADV Part 2B Brochure
  • Annual Compliance Meeting
  • Annual Compliance Questionnaire
  • Branch Office Exams
  • Correspondence and Check Logging
  • DBA – Doing Business As
  • Disciplinary Tracking
  • Firm Element
  • Gifts and Entertainment 
  • Government Regulatory Alerts
  • NAIC Suitability & Best Interest
  • OBA – Outside Business Activity
  • Political Contributions & Lobbying
  • Regulation 187
  • Replacement Transaction Logging
  • Risk Profile Module
  • Sales Contest Tracking
  • Signature Guarantee Stamp Logging
  • Stamp Guarantee
  • Written Supervisory Procedure

Responsive customer support

Pinpoint provides clients with an expert support team of U.S. based professionals. Clients have weekly meetings with your dedicated account management team. Pinpoint gives you consistent support and best practices to optimize the efficiency and effectiveness of all compliance programs.

Why work with Pinpoint?

Secure, seamless integration

All Pinpoint systems are seamlessly integrated into client infrastructures utilizing SAML 2.0 based single sign-on providing users easy, secure access to their compliance requirements and data.

SEC 17a-4 books and records archiving

Pinpoint SEC 17a-4 compliant storage provides clients gold record and records support.

Ease-of-use

Pinpoints compliance systems are designed with the user and administrator in mind. The systems’ personalized dashboard home page and administrative console make Pinpoint systems the most intuitive and easy-to-use compliance systems in the industry.

Affordable and scalable

Pinpoint offers flexible value-based pricing that meets your budget with the ability to scale with your company’s growing requirements.

Customizable

Pinpoint’s comprehensive compliance solutions are built to client requirements supporting their user hierarchy, supervisory rules and workflows. All client systems are branded to client’s look and feel.

The automation and tracking provided by the Pinpoint platform has been extremely well-received by RJL’s registrants. Now, it’s as simple as one mouse click for advisors and RJL compliance personnel to review registration status and take action on CE and IIROC requirements.

— Jeevan Dhamrait, Vice President, Operations
Raymond James

See how to simplify your compliance process with Pinpoint

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