Compliance, consulting, and business management solutions for boutique investment firms

screenshots

FIN Compliance helps firms to conduct regulatory reviews and delegate tasks.

Compliance/Task Management Tools
Use with CCOs, staff, and consultants.
Use with other technology or financial network vendors.
Desktop/tablet versions
Compliance Management System
Compliance Calendar
Guidelines
Alerts
Checklists
Maps
Forms
Agreements
Disclosure Documentation
Review Center
Cloud Storage Directory
Video Library
Business Management System
Client Center
Project Center
Document Center
Firm Directory
Vendor Directory
E-Signatures
Invoicing Integration
Firm Messaging
…and more

Business Continuity Assessment and Tools

  • Business Continuity Assessments
  • Cybersecurity Assessments
  • Vendor Instruction List Tool
  • Continuity/Succession Plan Tool
Business Continutiy Plan Image

Need to pivot your practice for the virtual future?

Create a compliance account, score your firm with a business continuity or cybersecurity assessment* and receive a free 30-min strategy call** ($250 value).

*Take our online assessment (available on all versions). **This offer is for a limited time, based on availability, and is for prospective registered investment advisors and broker-dealers only.

Create a Free Account Portal to get connected.

Advisor Business Directory

Connect with other firms for Continuity, Partnerships, Deal Flow, and more



Advisor Directory Image

Vendor Offers Directory

Third Party Vendor that offer services to firms in our Network.



Vebdors Offers Directory Image
Contact Us Today