ComplianceConnect™ Compliance Solutions for RIAs

ComplianceConnect simplifies the never-ending data collecting, tracking, and record-keeping necessary to keep your firm compliant with SEC regulations.

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Scale your compliance to fit your RIA

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.

Trusted by RIAs across the country

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.”
Craig LeFeber
Chief Compliance Officer
Bright Futures Wealth Management, LLC

Affordable and Customizable

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.

Be prepared for anything

ComplianceConnect includes the tools you need to stay compliant no matter the regulatory landscape. Information is at your fingertips for review, reporting, and audits.

Integrated compliance Modules

Simplify the never-ending data collecting, tracking and record keeping of your firm’s compliance requirements

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.

Advertising review
annual account review
adv part 2b brochure
annual compliance meeting
annual compliance
questionnaire
branch office exams
checks & correspondence
logging
doing business as (DBA)
disciplinary tracking
firm element
gifts and entertainment
government regulatory alerts
naic suitability & best interest
outside business activity (OBA)
political contribution & lobbying
regulation 187
replacement transaction logging
risk profile module
social media training
written supervisory procedures
...and more

The Core

Pinpoint Global has bundled the three most utilized ComplianceConnect modules for efficiency and savings.

1

annual account review

Support for real-time documentation of client financial planning discussions stored in a SEC 17(a)-4 compliant manner.

2

checks and securities blotter

Record all receipts of checks and securities to ensure all required documentation is recorded and forwarded in a timely manner.

3

gifts and entertainment

Effectively and easily record and monitor all gifts and entertainment coming in and going out.

Automated Workflow

Seamlessly integrate into your infrastructure and supervisory hierarchy

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.

Online Reporting Console

The tools you need to survive a regulatory audit

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.

Gold-Record Data Security

Enjoy peace of mind with our Gold Record storage

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.

Unrivaled Customer Support

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.

Schedule your personal demo of Pinpoint Global’s ComplianceConnect modules

See how Pinpoint Global’s ComplianceConnect can make it easy for your RIA to deliver, monitor and report on assigned compliance requirements.