Virtualization for Startups and Small (or not so small) Businesses

Jun 25, 2020 11:14:00 AM

By Charles Hamparian CEO of Sentience In this age of cloud computing, smaller businesses have had increasing access to enterprise-class virtualization tools that were usually reserved for the largest organizations. By utilizing these protocols your organization can have the ability to work compliantly and remotely from anywhere in the world. Virtualizing your business means increased uptime and sc...

Rise of the Machines, Part 3: How big data is changing more than just portfolio management

Dec 5, 2019 11:30:00 AM

Introduction  By Bo Howell  As we race towards the end of 2019, I can’t help but think about where we’ve been over the past year and where we are headed. This series of articles was written with both perspectives in mind. As a user and developer of technology, I’m very interested in the interplay between machines and people. We live in a society where computers are part of nearly all aspects of ou...

Rise of the Machines, Part 2: Changing Portfolio Management

Nov 21, 2019 12:30:00 PM

Introduction By John Simmons In Part 1: Rise of the Machines: How increased Automation in financial services impacts society, we discussed some of the benefits and dangers of increased automation with asset managers. In Part 2, we will dive deeper into the key adaptations of an investment advisor. Specifically, we look at how automation is changing portfolio management and what future portfolio ma...

Testing 1-2-3

Oct 25, 2019 1:00:00 PM

Having the right policies and procedures in place is a key component of an effective compliance program but it’s only part of the equation. Maintaining consistent adherence to these policies and procedures is equally important. One of the things our customers have asked for is a more efficient and automated way to do this. That’s why we are excited to announce the official release of our Testing M...

SEC Cyber-Probe: Round 3

Jun 13, 2019 2:30:00 PM

Recent activity by the Securities and Exchange Commission (“SEC”) highlight its continued focus on cybersecurity. In a Risk Alert issued by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”), the staff highlighted weak controls related to safeguarding customer information in network storage, including third-party providers. As noted in the Risk Alert, some investment advisers and...

If you hate changing your password, then read this article!

May 30, 2019 8:40:00 AM

Do you hate changing passwords? [heads nodding] Does it seem like your company forces you to change your password every other week? [heads nodding; tempers rising] Well good news, the National Institute of Standards of Technology (“NIST”) says you don’t need to change your password until it is compromised, which is like saying you don’t need to lock your door until a burglar has robbed you. Now is...

Tips for a More Secure Client Relationship: A Commentary on OCIE's Risk Alert on Privacy and Data Protection

May 9, 2019 11:00:00 AM

The SEC’s Office of Compliance Inspections and Examinations (colloquially known as “OCIE” or just the “SEC” to many market participants) recently issued another risk alert. The topic this time was privacy policies under Regulation S-P. Below are examples of the most common deficiencies or weaknesses identified by OCIE staff in connection with the Safeguard Rule. If you have any questions about the...

Can Technology Save an Industry?

Apr 5, 2019 12:05:00 PM

At the Investment Company Institute’s Mutual Fund and Investment Management Conference, which was held in mid-March, Dalia Blass, the SEC’s Division of Investment Management, noted in her keynote speech that the regulator is concerned that competitive pressures are eliminating small fund families from the industry. As a result, the SEC is going to research whether barriers exist in the industry th...

CCO Tech Announces Release of Document Manager

Mar 19, 2019 12:47:19 PM

FOR IMMEDIATE RELEASE Cincinnati, OH (March 19, 2019) - CCO Tech announces the release of its Document Manager, the third module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs). Document Manager integrates with CCO Tech’s SEC Filing Manager and Compliance Calendar to form a comprehensive solution that helps RIAs manage their compliance pr...

CCO Tech - Now at Your Service

Mar 14, 2019 1:00:00 PM

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, yo...

Calling For Beta Testers!

Feb 7, 2019 11:02:32 AM

With the general availability of our SEC Filing Manager and Compliance Calendar modules, and the forthcoming release of Document Manager, CCO Technology is looking for several beta testers to provide user feedback. We strongly believe that real world feedback is the most valuable input we can obtain. User input early on in the development of our application allows us to ensure we are on the right ...

CCO Tech Launches Integrated Compliance Calendar

Jan 16, 2019 9:35:08 AM

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 Mana...

An Insider View on How to Evaluate Software Providers

Oct 26, 2018 10:30:00 AM

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!), ...

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

Oct 1, 2018 10:30:38 AM

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....

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

Sep 17, 2018 9:05:51 AM

Dear readers,  Thank you. Since we launched this blog in March 2018, we've seen its subscription grow to over 500 people. We hope that means we're delivering content that you find exciting and unique. (Please let us know if that is not accurate.) But over the past few months, we've noticed a trend in our posts, a trend that reflects our growing interest in the intersection of investment management...

Introduction to the Titan Platform – The New Kid on the Block

Sep 7, 2018 9:15:40 AM

An Interview with Principal Michelle Morgan What do you do when you’ve been looking for software for your fund administration company but can’t find anything that does everything you want?  If you’re Michelle Morgan and Peter McKiernan, Canadian chartered accountants with 25 years industry experience each, you build your own. The business partners are proud to introduce Titan, an all-in-one, cloud...

Introduction: Michelle Morgan and Titan Technology

Sep 6, 2018 4:00:06 PM

Dear Readers, I'm pleased to introduce our newest guest author, Ms. Michelle Morgan. As you know, IM Cincy seeks to cover all aspects of the investment management industry, and Michelle brings a unique perspective, particularly on offshore funds and technology. Michelle is the principal and founder of Titan Technology Group, Ltd. ("Titan"), a Cayman affiliate of Advanced Alternative Investment Sys...