Have you been searching for a handy way to manage all your regulatory and compliance needs? Help could be on hand with the CCO Companion App, a comprehensive mobile guide to an exhaustive range of compliance topics. Let’s take a closer look at CCO Companion, and see whether it should be part of your compliance toolkit.


Fantastic features

The ‘home page’ of CCO Companion is its Reference Library feature, a central pool for documentation from all corners of the regulation and compliance world. From affiliated brokerage practices through to proxy voting in portfolio management, CCO Companion is truly a one-stop shop for documentation. The bank of documents in the Reference Library is navigable by Compliance Topic, Resource Type or Advisers Act Rule, and with every single document independently analysed by experienced professionals, you’ll find the Reference Library a useful and accurate resource.

The second of three main features is the News & Alerts panel – a no-frills RSS assimilation of news feeds from all the key players in the world of compliance. From the SEC and NASAA to SCC and the CFA Institute, you’ve got up-to-the-minute information which is sure to keep you in the know while you’re on the go. Simple, intuitive navigation makes sure the facts are always firmly centre stage.


Last but certainly not least, the Tools section of CCO Companion offers an impressive portfolio of model documents, plans, compliance training modules and white papers to keep you at the top of your game. Customizability is a key component of CCO Companion, and you’ll be encouraged to upload your own compliance documents to the App to create an even more powerful and useful resource for you and the rest of your firm.

Crisp design

The visual appeal of CCO Companion is ideal for its purpose. All information is easy to find in no more than two or three finger swipes, and if you do happen to lose yourself in the hierarchy of pages, the Search facility is both robust and forgiving.


The free version of CCO Companion isn’t overly generous with its offerings. You’ll be able to access over a hundred documents from the Reference Library, but only from the Advertising & Marketing topic. You’ll have access to the Tools panel, but only to open a couple of compliance checklists, five white papers etcetera. It’s abundantly clear that the Free option is only ever intended to provide a tempting taster of the full product – which isn’t cheap.


The paid version is based on six and twelve-month rolling subscription options, unlocking all the App’s content and the full suite of features and documents available. Starting from $299 and rising to $499, CCO Companion isn’t pocket change. However, for the breadth and depth of information contained, and the ability to tailor the App to your own precise requirements, the full unlocked CCO Companion represents a tempting investment for your firm.

Final verdict

CCO Companion is not an App which sets out to startle your senses with amazing graphics or flashy animations. With its user-friendly combination of accessible information and simple yet powerful functionality, CCO Companion is a no nonsense reference tool which will never be far from your fingertips. The free version is only a taster, but with subscription options proving good value over time, every investment adviser in the land will want this App in their arsenal.

Worth Having App – Download the App