CCO Tech Announces Release of Document Manager

CCO Tech Announces Release of Document Manager


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 processes and documentation.

Many Chief Compliance Officers (CCOs) at small- to mid-sized RIAs rely on manual processes or outdated tools to complete their regulatory filings. CCO Tech was founded to simplify, automate, and ultimately enhance the CCO’s ability to properly and cost-effectively manage the compliance process and reduce regulatory risk. According to CCO Tech founder, Bo Howell, “Document Manager is our most significant platform enhancement to date. It is tightly integrated with our other two modules yet also serves as the basis for additional applications in development, including a policies and task manager, risk assessment tool, and annual report manager. We’ve built a flexible platform that allows users to create content based on our template or to upload their current content. We are also building the ability to cross-check data between SEC filings and other compliance documentation."

Document-Manager Compliance Joot CCO Tech

Howell notes that the completion of the Document Manager will allow CCO Tech to develop further enhancements to the Compliance Calendar and add more content to the SEC Filing Manager. He further noted that the dashboard has been revised to incorporate information housed in the Document Manager.

Document Manager makes documenting an SEC compliance program easier by

  • Automatically saving draft and final versions of SEC filings into specified folders
  • Allowing users to upload or create policies and procedures, checklists, and other compliance documents directly into the system without needing to use a third-party document platform
  • Using data from SEC filings and other sources to identify the types of documents needed
  • Integrating those documents into the Compliance Calendar to schedule recurring and ad hoc compliance tasks
  • Automatically saving documents produced by compliance tasks to the designated folder
  • Automatically scheduling important tasks and reminders
  • Creating organized structures for completing documentation relating to vendor management and employee registration

Peter Burford, Director of IT at CCO Tech, notes that Document Manager will be an essential component to the development of CCO Tech’s next two applications. “We’re now developing a task management system to more efficiently handle key document-related activities such as signing and approval, as well as a compliance policies and procedures manual,” says Burford. “These components are all being designed to work together seamlessly. There are a lot of complex interactions happening behind the scenes, but we’re working to keep everything easy and intuitive for our users.”

To learn more about our products and services, contact CCO Tech here.

If you would like to see these products in action, schedule a demo!

About CCO Tech

At CCO Tech, we're building a compliance management platform for SEC-registered investment advisers. If you’re an RIA-founder that is serving as the CCO, we’ll help you focus on growing your business and serving your clients. If you’re a CCO, we’ll help you focus on risk management, not task management. Our mission is to ease your regulatory burden by untangling compliance complexity and presenting it in a way that is straightforward. Our proprietary platform anticipates scenarios and automates compliance processes so your reporting is always efficient, accurate, and timely. We are CCO Tech and we’re revolutionizing compliance for good.