Compliance Manager

FIN Compliance looks great on all devices

Our compliance management desktop portal is designed to help firms to review, test, store, prepare, and document all firm compliance requirements.

Our system also integrates with other technology solutions for firms to manage all SEC, State, FINRA, NASAA, and other fiduciary requirements on an ongoing basis.


Keep track of all of your company's required filings, their due dates, and related details so you can avoid incurring any fines or other penalties for late filings or missing information.

Calendar Screensot
Procedures screenshot


Document the supervisory system that has been established to ensure that compliance guidelines are being followed.


To-Do Lists and planners to review requirements, deadlines, policies, processes, and procedures.

Checklists screenshot
Compliance Forms screenshot


Filing Instructions for Form CRS(Customer Relationship Summary), ADV Part 1A + 2A Brochure Amendment, Annual checklist, U-4, U-5, U-10, and State De-Minimis filings


Solicitor's agreement, Consulting Agreement, Financial Planning Agreement, and more...

State Di-minimis checklists.
RIA Disclosure Center.

Disclosure Center

Disclosures/due diligence for your clients, vendors, and/or investors.

Review Center

Customized Policies, Procedures, Training and Review Templates

RIA Review Center.
Secure document cloud storage.

Cloud Storage Directory

Print, file, or store records in your private Compliance Cloud directory (10GB).

Audit Logs

Use for Code of Ethics Reporting Logs

Record Marketing Requests, Gifts/Entertainment Lists, Personal Securities Requests, Other Business Activities, and more.

Use for Third-Party Technology Solutions

Import/Aggregate your third-party compliance reports onto our system to conduct ongoing reviews of fee billing, email archiving, and more.

*Visit our integrations page and ask us about using our logs on disclosure center.

Audit logs compliance software.

See Us In Action

Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)