How We Work

FIN Compliance supports its network of financial advisors with
Compliance, Disclosures, Technology integrations, and Vendor Referrals.

We understand the power of collaboration

Our service model includes relationships with vendors in legal, fintech,
RegTech, marketing, and other consultants who serve the financial industry.

Since 2012, we’ve worked with more than 200 SEC & State registered firms



SEC (and some state-registered*) Firms


Marketing (Testimonial) Rules
Compliance Date: Nov 4, 2022
Use client testimonials in compliance with new Rule 206(4)-1 provisions
Use our sample testimonial disclosure generator



SEC Cybersecurity Proposal


Compliance Date: 2023 (TBD)
SEC Proposed changes to Rule 204-(6):
Where do you stand with proposed cybersecurity provisions?
Take our assessment



SEC and State ERISA Plan Fiduciaries


Department of Labor Prohibited Transaction Exemptions (PTE)
Compliance Date: 6/30/2022
Login to our Review Center for a summary of procedures



Investment Advisor Representatives (IARs)


NASAA Continuing Education Requirements (CE)
Compliance Dates: 2022/23 & beyond
States adopting (or proposed) rule include: Arkansas, Kentucky, Maryland, Michigan,
Mississippi, Nevada, Oklahoma, Rhode Island, Vermont, Washington, D.C., Wisconsin*
Login or Register to our Compliance Calendar for more updates

* Some states have not adopted new rule provisions



New Impact


Our Founder, Cory Roberson is now volunteering as a youth mentor for a profit called
Leaders of Men based in Fairfield, CA



New Services


Virtual Marketing and Technology Support
Disclosure mobile app for communications
Integrations on Zapier



Contact Us to inquire about rule provisions in your state jurisdiction or for additional services

FIN Compliance

  • Our Network Includes: Registered Investment Advisors, Financial Planners, Hybrid Advisors, Private Fund Advisors, Broker-Dealers, Robo-Advisors, and Digital Asset Advisors

  • SEC, State, FINRA/FINOP*, CE/Training*, CFTC*, Cross-Border*, AML*, and securities* (*Note: additional services may be offered through our compliance and legal partners*).

  • Compliance Management Desktop Solutions

    Disclosure portal for staff, solicitors, or general public.

  • FIN Lancer Business Marketplace
  • FIN Integration Center
ria compliance technology.
compliance connect.

Compliance Manager

We have an online portal of compliance resources to use with your existing technology solutions.

  • RIA Compliance Calendar*
  • Forms
  • Checklists
  • Compliance Cloud*
  • Disclosure Audit Logs*
  • Code of Ethics Reporting Logs
  • Review Center (SEC/NASAA/DOL best practices),
  • CE Guidelines, and more
  • *Integrate with third party apps

Business Manager

Collaborate with other FIN Compliance team members.

  • Client Center
  • Project Center
  • Document Center
sec compliance software.
compliance technology solutions.

Desktop to Mobile Communications App

Deliver documents to clients, staff, prospects, and vendors via a smartphone. Desktop includes audit logs to comply with documentation requirements SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules). Learn More

  • Deliver via Desktop/Mobile*;
  • Business Continuity plans,
  • Privacy Policies,
  • Form ADV and/or Form CRS
  • Advertising notices,
  • Fund Fee Disclosures,
  • Marketing materials
  • Deliver via Desktop/Mobile*;
  • Other Business Activities,
  • Advertising Requests,
  • Personal Securities Transactions & Holdings,
  • Gifts/Entertainment logs,
  • and more
  • *Integrate w/Third-Party Apps

Virtual Technology and Marketing Services

Offering Technology/Marketing Support for third-party solutions

Visit our directory

  • FinServ professionals
  • Technologists
  • Project Managers
  • Consultants
  • Cybersecurity Experts
  • We provide our network of business a cost effective solution to help manage digital marketing technology and implementation on a quarterly basis. We would stand as a point of contact between your firm and the services offered by the digital platform.
Fin Lancer screenshot
Fin Lancer screenshot
Fin Compliance dashboards look great on both web and mobile screens.

FIN Integrations (Zapier API)

We built our system to use with other advisor technology solutions to help aggregate compliance events, notes, documents, and audit logs in an app of your choice.

  • Setup a Zapier Account
  • Connect FIN Compliance with Zapier apps
  • Transfer data to/from FIN Compliance
  • Setup a Zapier Account
  • Create and connect workflows to your existing Client Relationship Manager (CRM)
  • Use Zapier to send data to/from FIN Compliance
  • Visit our Integrations page to learn more

Testimonials

How We Can Help

Our Progress

As Featured in

See Us In Action


Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)


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