Joot Blog

Stay up to date with perspectives, news and updates pertaining to investment management technology, legal, compliance and more.

Farewell to our Super Intern: John Simmons

Apr 30, 2019 1:00:00 PM / by Bo J. Howell posted in CCO Tech, CCO Technology

It’s a bittersweet week for us at CCO Tech. Our super intern, John Simmons, is finishing his spring semester and moving on to an internship at Fifth Third Bank in its Risk Management Leadership Program. We’re excited to see John take the next step in his career and we look forward to seeing him graduate next December from Xavier University, Williams College of Business (“WCB”).

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CCO Tech Launches Integrated Compliance Calendar

Jan 16, 2019 9:35:08 AM / by Alec Cheung posted in Compliance, Compliance Technology, CCO Technology, Technology, Compliance Calendar

FOR IMMEDIATE RELEASE

CCO Tech announces the release of its Compliance Calendar, the second module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs). The Compliance Calendar allows RIAs to schedule their compliance tasks and receive notices and reminders of important dates. The application integrates directly with CCO Tech’s SEC Filing Manager and creates calendar entries based on important data points in an adviser’s Form ADV. Additional modules are expected in February and March to create a comprehensive compliance system.

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An Insider View on How to Evaluate Software Providers

Oct 26, 2018 10:30:00 AM / by Michelle Morgan posted in CCO Tech, CCO Technology, Technology, SaaS


by Michelle Morgan, Director at Titan Technology Group

Over the course of my 25+ years in the finance industry, I have interviewed many software providers. More recently I’ve been on the other side of the table while marketing Titan, a back-office/fund administration platform. As technology overhauls are not something that people undertake daily (because who wants to switch software that often!), my experiences may be of value to those of you who may be about to tackle such a project. This article is meant to help those considering adoption of a large new or replacement software product, such as entire front, middle, or back office technology. There are many different topics I could cover, but I’ve narrowed it down to the following:

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CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers

Oct 1, 2018 10:30:38 AM / by Bo J. Howell posted in Corporate Governance, Investment Advisers, Service Providers, Advisers Act, CCO Tech, Compliance, Compliance Technology, Directors/Trustees, Form ADV, CCO Technology, SEC Filing Manager, Technology

FOR IMMEDIATE RELEASE

Cincinnati, OH (October 1, 2018) - CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs). SEC Filing Manager automates the completion of Form ADV, the starting point for regulatory compliance filing for every SEC-registered investment adviser. Additional modules will soon be released to create a comprehensive compliance system.

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Welcome to the crossroads of technology and investment management: IM Crossroads

Sep 17, 2018 9:05:51 AM / by Bo J. Howell posted in Investment Managers, CCO Tech, CCO Technology, Technology

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