SEC / FINRA Compliance

The Compliance
Clock Is Ticking

Every client communication needs documentation. Every presentation needs approval. Every quarter, you're racing against the clock—and the regulators.

T-minus 5 days
Until quarterly client communications deadline

The Regulatory Gauntlet

What compliance requires for every client presentation

Written Documentation

Every recommendation, every performance claim, every projection must be documented with supporting data.

Pre-Approval Required

Client-facing materials need compliance review before distribution. Bottleneck, meet deadline.

Audit Trail

When the SEC calls, you need to prove exactly what was sent, when, and to whom.

Fines up to $500K for inadequate records

Data Security

Client PII in presentations. Portfolio data. Account numbers. All need to be protected.

Reg S-P violations are costly

The Audit Nightmare

When the examiner asks for records of your Q2 client presentations...

We need copies of all client-facing presentations from Q2, along with documentation of the data sources used, compliance approval timestamps, and delivery confirmation for each client.

— SEC Examiner, on a random Tuesday

Compliance Built In, Not Bolted On

SlideStrike generates audit-ready presentations automatically

Auto-Documentation

Every data point traced back to source. Every presentation logged with timestamp and version.

Consistent Format

Same compliant template every time. No rogue formatting. No unauthorized claims.

60-Second Delivery

Meet every deadline. Every quarter. Every time. No more compliance crunch.

Stay Compliant, Stay Sane

Audit-ready presentations in seconds. Sleep better at night.

Try Compliant Presentations