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Satisfy Your Compliance Obligations

Risk Assessment

Every investment adviser must conduct an annual risk assessment. With thousands of risk identification questions and potential compliance risks listed in the Risk library and access to multiple risk management templates, you have all the tools you need to meet your risk assessment obligations.

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Compliance Testing

One of the most challenging tasks facing an investment adviser is implementing a thorough compliance testing plan. CCO Companion simplifies the testing process by breaking down over 800 forensic, transactional and general compliance tests into specific compliance topics.

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Compliance Training

Investment advisers are required to provide their advisory personnel with ongoing compliance training. CCO Companion has partnered with a nationally-recognized compliance consulting firm to supply you with timely and insightful compliance training material.

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