One Platform to Automate Your Entire Compliance Program
No more juggling a massive collection of spreadsheets, employee statements, calendars, documents, and email to stay compliant. Now you can have your RIA compliance tools together, all within one click.
Comprehensive Program Management
Gain visibility into every detail of your firm’s compliance program. Manage your policies and procedures, setup risk controls, edit firm disclosures, conduct marketing reviews and establish workflows all within one streamlined system.
- All-in-one Activities Manager built around your workflows to handle all compliance tasks, messages and advisor requests.
- Automated Compliance Calendar sets deadlines and establishes compliance task requirements with step-by-step guidance.
- Custom Task Creation allows you to create and edit your own workflows based on our regulatory templates.
- Policies & Procedures based on firm specific risk assessment and controls.
- Custom, Audit Ready reporting for regulatory examinations.
Advisor Messaging System
Send, track, approve and automatically follow up with all your adviser requests inside your messaging system.
Maintain total control over all your attestations, transaction reports, advisor training and marketing requests.
- Paperless Advisor Transaction Reports. With two simple clicks send, track and approve all your advisor attestations and transaction reports.
- Instantly send a custom New Hire Compliance Packet with required attestations.
- Advisors can send CCO requests inside their own Compliance Dashboard.
- Setup custom training programs for your staff in less than 5 minutes.
Advisor Messaging System
Send, track, approve and automatically follow up with all your adviser requests inside your messaging system.
Maintain total control over all your attestations, transaction reports, advisor training and marketing requests.
- Paperless Advisor Transaction Reports. With two simple clicks send, track and approve all your advisor attestations and transaction reports.
- Instantly send a custom New Hire Compliance Packet with required attestations.
- Advisors can send CCO requests inside their own Compliance Dashboard.
- Setup custom training programs for your staff in less than 5 minutes.
Annual Compliance Review
Documenting the state of your compliance program each year is a vital piece of the compliance management process. Our custom designed Annual Review Tool walks you through, step-by-step, each essential stage of the review process, resulting in a comprehensive professionally designed report.
- Regulatory Roundup. The first step in your review is documenting not only which new rules apply to your firm but more importantly how you plan to implement the requirements into your policies and procedures and internal workflows. Instant access to SEC Final Rules and Fact Sheets.
- Next is a Firm Risk Assessment which pinpoints the High-Risk Areas that need to be addressed in your Policies and Procedures and internal regulatory activities.
- Your Internal Procedure Reviews and Workflows are then pulled in to highlight the work you’ve done throughout the year. This stage provides you the opportunity to address the areas of concern you’ll be focused on in the coming compliance year.
Marketing Rule Reviews
Consistently reviewing all marketing materials is essential to avoiding unnecessary SEC penalties and fines. Mitigate the risk and save time with our streamlined marketing review tool. Using the Advisor Messaging system your team can submit and track Blogs, videos, social engagement, presentations, websites and more.
- Upload all Materials and Disclosures into the review system for instant review and approval.
- Custom Designed Questions and Examples based on firm specific marketing material.
- A Library of Disclosure Templates available to use as feedback throughout your review.
- Simple Tips and Examples to guide you through the review based on real life scenarios that cover all marketing situations.
- Each Review is Catalogued into your archive system for instant retrieval during regulatory examinations.
Marketing Rule Reviews
Consistently reviewing all marketing materials is essential to avoiding unnecessary SEC penalties and fines. Mitigate the risk and save time with our streamlined marketing review tool. Using the Advisor Messaging system your team can submit and track Blogs, videos, social engagement, presentations, websites and more.
- Upload all Materials and Disclosures into the review system for instant review and approval.
- Custom Designed Questions and Examples based on firm specific marketing material.
- A Library of Disclosure Templates available to use as feedback throughout your review.
- Simple Tips and Examples to guide you through the review based on real life scenarios that cover all marketing situations.
- Each Review is Catalogued into your archive system for instant retrieval during regulatory examinations.
Custom Task & Workflow Editor
Don’t rely on others to define your firm’s activities and workflows. Begin with our templates and tailor them to fit your needs. Our custom workflow tool provides a starting framework based on all regulatory requirements, allowing you to customize each activity and disclosure down to the finest detail.
- 40+ regulatory workflow templates available for you to customize for your specific firm.
- Tasks that give you more than detailed description for your compliance calendar. A comprehensive guide created for each task with available checklists, multiple choice buttons, dropdown lists and notes.
- Seamlessly integrate any custom workflow into your calendar with ease.
- Instantly create new tasks and activities based on the latest SEC rules.
Cybersecurity Hub
Protect your firm from unwanted threats and attacks with a single point cybersecurity solution. Following the latest NIST framework and guidelines your dashboard will keep you protected against the latest sophisticated cyberattacks.
- The latest education and custom training designed to keep your staff up to date on emerging cybersecurity defense measures.
- Simulate real phishing attacks sent directly to your advisors from your dashboard. Custom feedback and reporting to analyze who is compromising your firm by opening and clicking on these cyberthreats.
- Provide instant feedback and how to education to staff based on their responses to the interactive phishing simulation.
- Track incident reporting in real time while providing advisors easy access to log any incidents along with a step-by-step Incident response plan.
- Keep track of all vendor reviews along their cybersecurity policies with access to their specific risk assessment and results
Cybersecurity Hub
Protect your firm from unwanted threats and attacks with a single point cybersecurity solution. Following the latest NIST framework and guidelines your dashboard will keep you protected against the latest sophisticated cyberattacks.
- The latest education and custom training designed to keep your staff up to date on emerging cybersecurity defense measures.
- Simulate real phishing attacks sent directly to your advisors from your dashboard. Custom feedback and reporting to analyze who is compromising your firm by opening and clicking on these cyberthreats.
- Provide instant feedback and how to education to staff based on their responses to the interactive phishing simulation.
- Track incident reporting in real time while providing advisors easy access to log any incidents along with a step-by-step Incident response plan.
- Keep track of all vendor reviews along their cybersecurity policies with access to their specific risk assessment and results
Mock SEC Examination Tool
Preparation is the key for all successful compliance programs. We created this tool so your firm can be better prepared for the unexpected. The 5 stages of the SEC mock examination tool will create a bullet proof plan of attack for your firm the moment you receive notice from the SEC.
- Designed to keep your firm audit ready in case of a surprise SEC audit to your compliance program.
- Keeps an active catalogue of all your work for each year you perform a mock audit.
- Pulls in completed tasks, reports and workflows so you don’t have to recreate your work.
- Templates, checklists, presentations and other valuable SEC exam resources available at your fingertips.
Content Library
Reduce the stress and uncertainty of an unexpected SEC examination by making sure your firm is prepared. A thorough risk assessment will ensure you’re ready to respond immediately with confidence
- Each custom workflow you create inside the system has a matching PDF document for easy reference when reviewing your policies and procedures.
- Our template collection makes your job easy when creating disclosures, attestations, annual reports, new policies and manuals.
- Firm checklists that cover areas such as new advisor onboarding, portfolio management, trading review, client billing, marketing and much more.
Content Library
Reduce the stress and uncertainty of an unexpected SEC examination by making sure your firm is prepared. A thorough risk assessment will ensure you’re ready to respond immediately with confidence
- Each custom workflow you create inside the system has a matching PDF document for easy reference when reviewing your policies and procedures.
- Our template collection makes your job easy when creating disclosures, attestations, annual reports, new policies and manuals.
- Firm checklists that cover areas such as new advisor onboarding, portfolio management, trading review, client billing, marketing and much more.
Automated Onboarding
Learning any new software takes time and a little patience. We designed our new client onboarding system to make it as convenient as possible to learn the ins and outs of your new compliance tool as quickly as possible
- Designed to get you up and running within 30 minutes of signing on as a new client.
- Step-by-Step checklist and onboarding video with easy instructions for loading your firm material into the LP system.
- Dedicated team member assigned to assist you throughout your time with LeadPoint. Available via chat, email or phone. Whatever option is most convenient for you.
Custom Risk Assessments
Avoid the stress and frustration that comes with the the SEC conducting an unwanted examination. Is your firm truly prepared? Be ready at a moments notice by conducting a thorough risk assessment of your firm.
- Immediately identify high risk areas in your policies and procedures and day-to-day workflows that need updating.
- Simple step-by-step online questionnaire that provides key insight and action steps into the current state of your compliance program.
- Maintain a thorough and documented assessment of your firm that demonstrates your ability to stay current in your regulatory responsibilities.
- Industry best practice recommendations for the deficient areas in your compliance program.
- Ensure the safety of your client records by identifying any gaps in protection and security.
Custom Risk Assessments
Avoid the stress and frustration that comes with the the SEC conducting an unwanted examination. Is your firm truly prepared? Be ready at a moments notice by conducting a thorough risk assessment of your firm.
- Immediately identify high risk areas in your policies and procedures and day-to-day workflows that need updating.
- Simple step-by-step online questionnaire that provides key insight and action steps into the current state of your compliance program.
- Maintain a thorough and documented assessment of your firm that demonstrates your ability to stay current in your regulatory responsibilities.
- Industry best practice recommendations for the deficient areas in your compliance program.
- Ensure the safety of your client records by identifying any gaps in protection and security.
Archive & Compliance Log
You are constantly sending out education pieces and compliance updates to your team. Make sure you get credit for what you do every day. Our “Get Credit” app will track and log each compliance message you send, every webinar you and your team attends and compiles them into into a professional report you can edit and archive into the system.
- Create custom compliance log reports to pull up at a moments notice for your SEC regulator.
- Keep track of ALL your daily compliance activities. Emails, internal messages, workflows, education, reviews, meetings and reporting.
- CC: to your custom domain any email you send out to your team and the GC app. will log the contents of the email into your compliance log reporting system.
Advisor Training Center
Education is one of the cornerstones to a successful and violation free compliance program. Your advisors need constant training on the latest regulatory activities and rules. Use our custom advisor training center to conduct webinars, video series and more.
- Extensive library of pre-recorded video training available instantly to you and your advisor team.
- Topics include cybersecurity, regulatory best practices, final and proposed SEC rules, enforcement actions, software training and compliance best practices.
- Invite your team to the latest webinar with one click scheduling inside your training area.
- Want to make your own training videos? No problem. Our custom training feature allows you to create, upload and send invites to your staff all in one centralized location.
Advisor Training Center
Education is one of the cornerstones to a successful and violation free compliance program. Your advisors need constant training on the latest regulatory activities and rules. Use our custom advisor training center to conduct webinars, video series and more.
- Extensive library of pre-recorded video training available instantly to you and your advisor team.
- Topics include cybersecurity, regulatory best practices, final and proposed SEC rules, enforcement actions, software training and compliance best practices.
- Invite your team to the latest webinar with one click scheduling inside your training area.
- Want to make your own training videos? No problem. Our custom training feature allows you to create, upload and send invites to your staff all in one centralized location.
Vendor Due Diligence
Performing routine assessments of your vendors is a critical piece of your compliance management. To keep your firm and your clients protected it’s vital to use a proven system that streamlines this process for both new vendors and trusted partners you’ve worked with for years.
- Save time by switching from a manual review to an automated vendor review method.
- Maintain your reputation by allowing only vendors that have proven they are credible and trustworthy access to your secure systems. Don’t let unvetted companies near your firm or your client’s private information.
- Keep track of initial vendor and ongoing reviews in one easy to use dashboard inside your cybersecurity hub.
- Track any incidents that may pop up with a step-by-step incident response plan inside your dashboard.
Advisor Dashboard
This comprehensive tool is designed to assist your investment advisors in managing and monitoring compliance-related activities efficiently. This dashboard integrates various functionalities essential for compliance management, offering a centralized hub where advisors can access critical information, tools and make requests.
- Advisors can send, store and receive all compliance messages from the CCO in one secure location.
- Make all compliance related requests to the CCO including marketing, new /termed client info, trade errors, cybersecurity incidents, complaints, outside business activity and more.
- Participate in all compliance related training. Watch videos and track the status of the advisor’s training. Once complete they can take the custom written quizzes with results automatically sent to the CCO.
- Easy to access dashboard with secure login that doesn’t require advisors to remember usernames or passwords.
Advisor Dashboard
This comprehensive tool is designed to assist your investment advisors in managing and monitoring compliance-related activities efficiently. This dashboard integrates various functionalities essential for compliance management, offering a centralized hub where advisors can access critical information, tools and make requests.
- Advisors can send, store and receive all compliance messages from the CCO in one secure location.
- Make all compliance related requests to the CCO including marketing, new /termed client info, trade errors, cybersecurity incidents, complaints, outside business activity and more.
- Participate in all compliance related training. Watch videos and track the status of the advisor’s training. Once complete they can take the custom written quizzes with results automatically sent to the CCO.
- Easy to access dashboard with secure login that doesn’t require advisors to remember usernames or passwords.
Effortless
Intuitive
Automated
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