Who We Are
Four Points Compliance is a regulatory compliance consulting firm focused on helping financial firms address evolving regulatory requirements.
We work with investment advisers, exempt reporting advisers, broker-dealers, private fund managers, municipal advisors, and other regulated entities to identify compliance concerns and develop practical solutions.
Our professionals provide experienced guidance across a wide range of compliance matters, helping firms maintain current policies, complete required reviews, and respond to regulatory expectations.
Our Compliance Services
Registration & Regulatory Filings
We assist firms with registration requirements, regulatory filings, amendments, and ongoing filing obligations to help maintain compliance with SEC, FINRA, and state requirements.
Compliance Policies & Procedures
We help firms develop, review, and update compliance policies and procedures, including Code of Ethics, privacy policies, and other required compliance documentation.
Compliance Reviews & Risk Assessments
Our team performs annual compliance reviews, risk assessments, and testing of compliance policies and procedures to identify areas requiring attention.
Regulatory Examination Support
We assist firms with regulatory examination preparation, document reviews, and responses to SEC, FINRA, and state regulatory inquiries.
Strengthen Your Compliance Program
Regulatory requirements continue to evolve. FourPoints Compliance provides practical guidance and ongoing support to help firms manage compliance obligations, address regulatory requirements, and maintain effective compliance programs.