FIN Diclosure Center

FIN Disclosure features desktop and mobile tools for firms to store and deliver disclosures to clients, staff, solicitors, and prospects.

Our desktop includes portals to send disclosures via a web link. The mobile app, integrated with our desktop solution, allows firms to elect to deliver disclosure documents via a smartphone to enhance its customer experience.

Desktop & Mobile Application

  • Deliver Disclosures for:
  • Continuity plans
  • Privacy Policies
  • Form ADV, CRS and advertising notices.
  • Marketing Material

  • Capture Reports for:
  • Access Person logs
  • Code of Ethics
  • Other Business Activities
  • Advertising
  • Personal Securities Transactions

Staff Dashboard

  • Disclosures:
  • Calendar Events
  • Training Materials
  • Continuity Documents
  • ADV Documents.
  • Code of Ethics Reporting

Use for admin, staff, solicitors, or virtual assistants.

Client Dashboard

  • Disclosures:
  • Calendar Events
  • Marketing Materials
  • Continuity Documents
  • ADV Documents.
  • Code of Ethics Reporting

Use for clients, prospects, and vendors.

Mobile Phone
(Coming Soon)

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Avoid SEC, FINRA, or State “failure to disclose” fines by delivering documents for:
Code of Ethics
Brochure Rule
Business Continuity
And More...
Out of Office
Advertising
  • Setup an Account Profile

  • Review Compliance Calendar

  • Discuss Service Needs

ACCESS COMPLIANCE CALENDAR AND MANAGE TASKS