Case study: How a leading CLO manager enhanced compliance and efficiency with FinDox™ 

Overview

Overhauling compliance is no small challenge, especially in today’s fast-evolving regulatory landscape. A top-ranked CLO (collateralized loan obligation) manager—managing billions in leveraged financial instruments—faced mounting pressure to modernize their data and document management processes. Their legacy tools not only hindered operational efficiency but also exposed the firm to elevated risks of noncompliance with increasingly rigorous SEC regulations around material nonpublic information (MNPI). 

When they adopted FinDox™, the results were transformational. Streamlining workflows, improving visibility, and fortifying compliance protocols, this centralized platform became the foundation for their regulatory strategy and operational performance. 

The challenge

The CLO manager grappled with issues common to firms relying on outdated, fragmented systems: 

• Manual workflows: Restricted lists were maintained using cumbersome spreadsheets, leaving room for human error and delays. 
• Limited oversight: Tracking document access and user permissions across multiple platforms offered minimal transparency and accountability. 
• Regulatory pressure: With the SEC intensifying control over MNPI handling, the firm’s existing processes left them vulnerable to compliance lapses and reputational risks. 
• Deal velocity concerns: Data silos slowed deal execution, placing the firm at a competitive disadvantage in their fast-paced markets. 

To scale effectively while safeguarding sensitive data, the CLO manager required a bold departure from fragmented, inefficient processes. 

The solution

The organization implemented FinDox^TM, leveraging its centralized and intuitive platform to address core compliance and efficiency challenges head-on. 

1. Secure management: FinDox^TM eliminated the inefficiencies and vulnerabilities of maintaining restricted lists in static spreadsheets. Sensitive documents, such as credit agreements and issuer presentations, could now be securely managed in one interface. The platform’s audit log ensured every action was tracked, creating a layer of transparency that spelled peace of mind for both compliance teams and executives. 
2. Risk mitigation: By enabling real-time alerts for suspicious access attempts, FinDox^TM helped the CLO manager preempt and mitigate compliance risks before they escalated into regulatory issues. The platform’s ability to flag potential breaches in real time ensured that sensitive data remained protected at all times. 
3. Unified deal management: With FinDox^TM, disparate deal documents were migrated into a unified ecosystem. Analysts could locate, analyze, and act on opportunities faster while meeting regulatory demands with confidence. The platform automated low-value tasks like issuing updated private-to-public side permissions, freeing up valuable time for decision-making. 

“FinDox^TM is designed to be the central nervous system for client sensitive data and access to priority content—from credit agreements and financials to covenant analysis and fundamental data—ensuring security and integrity,” explains Manish Aggarwal, VP of Data Products at Octus. 

The results

The adoption of FinDox^TM yielded measurable, immediate, and long-term benefits for the organization. 

• 100% MNPI compliance visibility: The firm achieved airtight compliance by centralizing all access logs and permissions. Regulators gained confidence in their ability to maintain clean lines between private and public data access. 
• 50% reduction in deal processing time: Automating deal documentation workflows streamlined processes while dramatically cutting delays. This gave portfolio managers a critical edge in dynamic, time-sensitive credit markets. 
• Scalable growth strategy: FinDox’s single-sign-on capabilities and automated employee onboarding/offboarding processes future-proofed the firm’s growing workforce against human error risks. 
• Regulatory readiness: Compliance audits became seamless. Complete access logs, system-generated reports and real-time monitoring meant the firm was always prepared for regulatory inspections—a stark contrast to relying on fragmented documentation processes. 

“Switching to FinDox^TM has transformed our compliance and operations. Manual bottlenecks were a major concern, and now our system is both seamless and scalable. We achieved regulatory readiness while cutting time-to-deal in half, keeping us competitive in the market.” 

— Chief Compliance Officer, Leading CLO Manager 

Why FinDox^TM works for private debt investors

FinDox^TM provides an unmatched combination of security, efficiency, and compliance support tailored to the unique demands of asset managers and CLO firms. Key features that empower industry professionals include: 

• Perpetual access to syndicated data : Avoid losing access to vital syndicated data with FinDox’s perpetual storage capabilities—crucial for CLO managers handling complex portfolios. 
• Automated permissions : A hallmark of compliance efficiency, this feature minimizes manual intervention and ensures access is always aligned with regulations. 
• Comprehensive reporting and insights : From issuer-level analysis to audit trail oversight, FinDox^TM equips firms with actionable intelligence that supports smarter decision-making. 

Leading the way forward

This case study illustrates the power of investing in unified compliance platforms like FinDox^TM. Beyond merely addressing regulatory demands, these systems become catalysts for productivity, competitive advantage, and the confidence to operate at the forefront of complex financial markets. To learn more about how data-driven compliance solutions can safeguard your business while improving operation performance, download the whitepaper.

For firms ready to redefine their compliance strategies and unlock scalable efficiency with centralized solutions, FinDox^TM delivers results—every document, every user, every deal. 

What’s holding your firm back from achieving the same clarity and control? Contact us today to see how FinDox^TM can transform your compliance and operational strategy.