Pinpoint Global is excited to announce the launch of ComplianceConnect online compliance modules specifically tailored to the compliance needs of RIA firms. ComplianceConnect is a SaaS subscription for RIAs to simplify the never-ending data collecting, reporting, and storage necessary to satisfy SEC requirements.
” We’ve been providing online compliance services for the largest financial services companies for over 20 years. RIAs are the fastest-growing segment in the industry and have their own specific compliance and business risks,” said Jay Stainsby, Vice President of Pinpoint Global. “It’s only natural to take what we’ve done and scale it for RIAs to better comply and manage risk.”
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ComplianceConnect includes over 20 modules that satisfy SEC requirements. Built and branded specifically for firms’ hierarchies, they’re intuitive and easy to use for advisors and staff. Workflow is seamless from advisor through supervisory review and compliance oversight. Advisors and compliance staff are able to collaborate more efficiently and productively, creating more collegial relationships.
Each module provides multi-level review options, real-time reporting, and detailed auditing tools keeping RIAs compliant with the regulatory landscape. Pinpoint Global’s Gold Record storage means data is encrypted, fully redundant, and accessible anytime should a firm be audited.
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Pinpoint Global has bundled the three most popular modules into The Core for efficiency and savings. The Core includes Annual Account Review, Gifts and Entertainment, and Checks and Securities Blotters. RIA firms can add additional modules when needed.
Craig LeFeber, CCO of Bright Futures Wealth Management, LLC said, “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.” Added Craig, “The Pinpoint solution fills a void in today’s market.”
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