CCO Companion provides investment advisers with the information and resources they need to satisfy their most challenging regulatory and compliance requirements.
"CCO Companion puts everything your CCO needs to know in one place" - Bob Veres, Inside Information, June 2016
"designed to meet [the] most common compliance challenges" - Entrepreneur.com/article/273920
"a must-have-app [for] any budding or experienced investment adviser" - AppTimes.com
CCO Companion’s combination of critical compliance information and dynamic compliance tools gives advisers the ability to stay current with all their compliance obligations and a better way to manage them. CCO Companion integrates 3 key components into 1 powerful mobile compliance resource:
The Reference Library gathers regulatory and compliance information from all essential sources. What makes CCO Companion so unique is that before a document is added to the Reference Library, it is first analyzed by an experienced compliance professional for relevance. You can access all of the Reference Library’s resources navigating by Compliance Topic, Resource Type or Advisers Act Rule.
NEWS & ALERTS
News & Alerts keeps you on the leading edge of compliance information via direct feeds from the SEC and other key regulatory authorities.
CCO Companion provides you with access to professional compliance tools, including monthly compliance training material, compliance checklists, risk assessment and compliance testing templates and model documents. You can also import and organize your advisory firm’s own compliance documents.
• Comprehensiveness – CCO Companion is organized around the 15 most common compliance areas. CCO Companion also provides information from every relevant compliance source, including SEC Releases, No-Action Letters, Enforcement Actions, Speeches and Compliance Risk Alerts.
• Utility – With multiple compliance tests, risk identification questions, lists of potential compliance risks and compliance training material, CCO Companion can help you satisfy all your major compliance requirements.
• Exam Readiness – CCO Companion contains SEC document request letters covering all regions and types of examinations that you can access to prepare for the inevitable SEC examination.
• Access over 100 unlocked documents under the Advertising & Marketing | Advertising Compliance Topic to sample available content.
• Access RSS Feeds from all content publishers.
• Access two Compliance Checklists, Advertising and Marketing Compliance Training Material and five White Papers.
• Import your organization’s compliance material into prebuilt folders or create new folders for your unique needs.
• Perform a key word search on the entire regulatory database to find documents matching your criteria.
• Bookmark any document or news article to easily organize your favorites.
• Print, Open in other Apps or Email available content
Purchase a 6-month for $49.99 or 12-month for $99.99 Auto-Renewable Subscription to:
• Access entire Reference Library collection of over 1600 documents with new documents being added periodically
• Access Model Compliance Calendar and Disaster Recovery Plan documents
• Access ten Checklists, two Risk Assessment templates, Compliance Testing Plan template, twelve Compliance Training Newsletters (and all future additions made during the Subscription Period)
Professional Subscription will auto-renew and charge to your iTunes Account unless turned off 24 hours before the end of the current period.
Cancellations will take effect at the end of the current period.
Manage Professional Subscription from iTunes Account Setting on your iPad.
Purchase a Model Anti-Money Laundering Plan, Compliance Policies and Procedures Manual and Code of Ethics which can then be customized to your firm’s needs.
PRIVACY & TERMS
Reference Library updated through February 7, 2017 to add 47 recent, important SEC publications to collection of 1673 documents
Tools added Compliance "Trade Order Memoranda" Checklist, and "Conflict of Interest" and "Whistleblower Rules" Training material
News & Alerts improves article presentation for easy reading, sharing, and printing
Support iOS 10.2 and general performance improvement
- Digital Compliance, LLC
- 132.8 MB
Requires iOS 8.1 or later. Compatible with iPad.
- Age Rating
- Rated 4+
- © 2017 Digital Compliance, LLC
- In-App Purchases
- 12 Month Unlimited Access $99.99
- 6 Month Unlimited Access $49.99
With Family Sharing set up, up to six family members can use this app.