ComplianceConnect simplifies 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 ComplianceConnect makes it easy to
DELIVER, MONITOR AND REPORT
on assigned compliance requirements.
ComplianceConnect includes multiple modules that satisfy SEC requirements. Real-time reporting and detailed auditing tools are at your fingertips. Seamlessly integrating into your firm’s infrastructure, ComplianceConnect is configured to your specific needs and requirements. It supports your hierarchy and submission and review workflow processes. The reporting features Decision Ready Data to enable 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.”
ComplianceConnect SaaS modules for RIAs are an efficient and affordable way to streamline and grow with changing regulatory and risk landscapes. ComplianceConnect is modular and customizable. With over 20 compliance modules ComplianceConnect allows 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.
ComplianceConnect includes 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 ComplianceConnect 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’s ComplianceConnect 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 ComplianceConnect can make it easy for your RIA to deliver, monitor and report on assigned compliance requirements.
