Satisfy the most common FINRA regulations completely online with over 20 SEC 17a-4 compliant modules including Outside Business Activities, Annual Compliance Meeting, Firm Element and more.
REQUEST A DEMO Traditional compliance management methods are often inefficient, leading to higher risks of non-compliance, potential fines, and operational disruptions.
These inefficiencies make it challenging to keep up with regulatory changes, increasing the burden on compliance teams and risking costly penalties. The struggle to maintain accurate records and ensure all staff comply with the latest regulations adds significant stress and operational strain. Organizations need a more efficient and reliable compliance management system.
A robust solution to streamline and enhance your compliance processes.
Pinpoint’s Compliance Management System automates compliance tracking, simplifies audit preparation, and ensures adherence to regulations with over 20 SEC 17a-4 compliance modules. By providing real-time monitoring, advanced reporting tools, and seamless integration with existing systems, you can reduce compliance risks and operational burdens.
“The automation and tracking provided by the 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.”
Our Compliance Management System has the tools you need to stay compliant no matter the regulatory landscape
Pinpoint’s Online Compliance System has standard solutions for over 20 FINRA compliance requirements, including:
Pinpoint’s compliance modules are configurable to account for how your firm conducts business, and automatically routes audit findings, ad submissions and more to the proper personnel every step of the way — so you'll enjoy streamlined supervision.
Digitize your paper forms and increase efficiency with Pinpoint’s Smart Forms. Employ digital form features like branching and logic to simplify complicated forms and automatically detect errors — allowing your agents to fulfill requirements sooner and get back to selling.
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.
Need something specific? Pinpoint can easily create additional reports to track custom metrics for unique company data.
Staying in compliance requires you to be proactive. Pinpoint’s Risk Profile scans a myriad of agent data points like outside business activities, conflicts of interest, and many others to assign a unique risk assessment to everyone in your organization — automatically notifying you when action needs to be taken so you can stay ahead of potential problems.
All of your data within Pinpoint’s Compliance Solutions 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.
Unlike other LMS providers, 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.
“The automation and tracking provided 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”
See how Pinpoint’s Compliance Online System can help you offer a better way to train your entire organization.
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