How Technology Helps CCOs Manage RIA Compliance

Apr 13, 2021 7:30:00 AM / by Alec Cheung posted in Compliance Technology, Technology

Think back to when you were a kid. You could take the time to learn new skills. Responsibilities were minimal. Everything seemed possible. Now, time is a valuable commodity. Responsibilities compound. And it often feels impossible to keep up with everything you need to do. For chief compliance officers (CCOs), busy schedules and paperwork pileups can be debilitating. These pitfalls can easily erode the hard work you consistently put into your business.

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CCO Tech - Now at Your Service

Mar 14, 2019 1:00:00 PM / by Bo J. Howell posted in Service Providers, Announcement, Compliance Technology, Technology

Ever since I founded CCO Tech, we’ve been talking about our proprietary technology and how deeply committed we are to helping you remain independent, protect your reputation, keep your house in order, and achieve peace of mind that your compliance program is buttoned up and exam ready. But we heard from so many of you over the past few months that technology is only part of the solution. Often, you also need a reliable partner, maybe even a compliance steward. Our clients and beta testers have provided great feedback on our system, but they’ve asked for more.

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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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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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GDPR in a Nutshell and the Titan Platform*

Sep 21, 2018 8:30:07 AM / by Michelle Morgan posted in EU, GDPR, Investment Advisers, Investment Managers, Privacy, Service Providers, Compliance, Compliance Technology, EU Regulations

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The BIG Reveal: Welcome to the Future of Compliance

Aug 24, 2018 10:00:41 AM / by Bo J. Howell posted in Investment Advisers, Advisers Act, CCO Tech, Compliance, Compliance Technology

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