Pinpoint's compliance management system satisfies FINRA regulations with over 21 SEC 17a-4 compliant modules — including Outside Business Activities, Advertising Review, Audit Management and more.
Request a Demo Outdated compliance management approaches leave you vulnerable to regulatory penalties, surprise audit findings, and staff burnout—all while undermining leadership's confidence in your department.
Pinpoint's compliance management system automates what matters with 21+ SEC 17a-4 modules that transform your team from paper-chasers to strategic advisors. When regulators call, you'll be ready—not scrambling.
"Pinpoint's Ad Review System allows us to complete reviews significantly faster, with a reduction in review time of audio / video submissions by 3x to 5x. This improved efficiency provides better services to our advisors with fewer people involved.”
Our Compliance Management System has the tools you need to stay compliant no matter the regulatory landscape
Regulatory compliance software that's tailored to your organization's risk and fulfills over 21 FINRA requirements, including:
Mirror your firm's existing hierarchy and automatically route audit findings, ad submissions and more to the proper personnel every step of the way — no guesswork or referring to org charts required.
Leverage advanced branching and logic features to dramatically simplify complex forms and automatically catch errors — empowering your agents to fulfill requirements faster and spend more time selling.
Each compliance management system module comes with detailed reports that are accessible anytime. Run reports on demand, or have custom reports automatically delivered to your inbox — 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.
Scan multiple 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 is encrypted and fully redundant to protect it 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 training and compliance platforms, 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 Management System can help you offer a better way to manage risk within your organization.
Request a Demo 
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