CCO Tech Launches Integrated Compliance Calendar

CCO Tech Launches Integrated Compliance Calendar


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.

Many Chief Compliance Officers (CCOs) at small- to mid-sized RIAs rely on manual processes or outdated tools to complete their regulatory filings.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, “We simplified the Form ADV processes with our SEC Filing Manager and now we are automating the scheduling of compliance tasks. We wanted to integrate the data in compliance calendars into our platform to further automate the work done by compliance officers." Howell notes that the Compliance Calendar is the next major step in the evolution of a fully integrated compliance system. CCO Tech's Dashboard, which now includes a real-time news feed from the SEC’s website, will eventually become the hub of a compliance department’s operations.

Compliance Calendar makes managing tasks throughout the year easier by:

  • using data from SEC Filings and other sources to automatically schedule important tasks and reminders
  • automatically including important regulatory deadlines into the RIA’s calendar
  • creating a bridge between scheduled compliance tasks and the gathering and housing of required documentation

Compliance Calendar is an essential component to the development of CCO Tech’s next two applications, a document management system and a compliance policies and procedures manager, both of which are scheduled to launch in the first quarter of 2019. For CCO Tech clients that use its compliance support and outsourced CCO services, the Compliance Calendar allows officers at the RIA to stay informed about upcoming compliance operations.

To learn more about CCO Tech and its products and services, or to schedule a demo, contact the company here.

About CCO Tech

At CCO Tech, we're building automated compliance tools for SEC-registered investment advisers. Our goal is to make it easier and more cost-effective to meet SEC regulatory requirements. Through our integrated applications, CCOs will benefit from user-friendly, smart solutions that simplify and automate repeatable tasks, saving them both time and money. If you're an RIA-founder who is serving as the CCO, we want you to focus on growing your business and serving your clients; if you are a CCO, we want you to focus on risk management, not task management.