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Investment advisers are playing a very serious and responsible role of giving advice on investing in securities, as well as managing portfolios of securities.

CCO Companion – An App Designed for Investment Advisers

This includes staying on top of the latest regulatory information, as well as keeping track of any upcoming changes. However, as you are about to find out in this article, there are ways to find all of this information in one place.

CCO Companion is a recently released application aimed at helping investment advisers find reliable and up to date information. The main goal of this app is to collect the information and advice that investment advisers need in order to meet their regulatory and compliance requirements. This is a very serious and comprehensive task, so let’s see how CCO Companion app manages to handle this information.

CCO Companion – An App Designed for Investment Advisers

As it can be seen from the images in this article, CCO Companion is very straightforward (and even very basic) in its design. On the left side of the screen you will find the main menu, along with the sidebar for previewing different categories of content and information.

The right side, which is significantly larger, is the reading area.
The application is divided into three main areas: A Reference Library, News and Alerts, and Compliance Tools.

When it comes to the Reference Library, it’s important to note that this section is analyzed and reviewed by experienced compliance professionals. This means that investment advisers will be able to rely on relevant and up to date regulatory information. In addition, you can upload your own compliance documents and create bookmarks for your own digital library.

News and Alerts are served through RSS feeds from sources such as SEC, FINRA, and other key regulatory authorities.

The Tools section is probably the most comprehensive list of professional tools, including monthly compliance training material, along with templates, models, and checklists. This can save a lot of time to any investment adviser, simply by having laid out all of the available information. Once again, you can import your own documents and easily make use of them in your future work.

CCO Companion is free to download from the iOS App Store, but it requires a subscription to be fully unlocked. The free version is a good way to test this app since it provides access to over 100 documents under the Advertising and Marketing Compliance section. You can also try out RSS news, checklists, training materials, and preview five available White Papers.

The Professional Subscription will unlock the entire app’s content. This includes entire Reference Library with over 1,500 documents available at the moment, including the rest of the content. Note that if you cancel the subscription, you won’t get your money back since cancellations take effect at the end of the current period.

However, considering that CCO Companion provides invaluable digital help to any investment advisor, you will hardy every reach for this option.
There are two subscription models, where a 6-month subscription is priced at $299, while the full year will cost you $499. Both of these models are auto-renewable.

CCO Companion

by Digital Compliance, LLC

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    1.2 ⋅ 121 MB

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CCO Companion

CCO Companion provides investment advisers with the information and resources they need to satisfy their most challenging regulatory and compliance requirements.

"a must-have-app [for] any budding or experienced investment adviser" -
"a no nonsense reference tool which will never be far from your fingertips" -
"The Perfect App" -

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 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 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 $299 or 12-month for $499 (17% saving) Auto-Renewable Subscription to:
• Access entire Reference Library that (currently) collection of over 1500 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.


Click the Gallery for more screens or the Info for additional information.

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Novak Bozovic
Tech editor and architecture student. His stories have featured in numerous online publications covering hottest stories about IT-and tech trends.