Satisfy the most common FINRA regulations completely online with over 21 SEC 17a-4 compliant modules including Outside Business Activities, Advertising Review, Audit Management and more.
REQUEST A DEMO Traditional compliance management methods are often inefficient, leading to higher risks of non-compliance, potential fines, and operational disruptions.
The struggle to maintain accurate records and ensure all staff comply with the latest regulations adds significant stress and operational strain — which leads to costly penalties if not managed correctly. Organizations need a more efficient and reliable compliance management system.
A robust solution to streamline and enhance your compliance processes.
Pinpoint’s CMS automates compliance tracking, simplifies audit preparation, and ensures adherence to regulations with over 21 SEC 17a-4 compliance modules. By providing real-time monitoring, advanced reporting tools, and seamless integration with existing systems, you can greatly 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
Tailor Pinpoint's CMS to reduce your organization's risk and fulfill over 21 FINRA compliance 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 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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