A major player in the investment space needed to modernize its legacy platform and streamline the SEC form-filling process. The goal was to simplify complex tax and legal workflows for users while maintaining full regulatory compliance. This project focused on enhancing performance, user experience, and submission accuracy, without compromising security or compliance.
The Challenge
A key stakeholder in the investment sector needed to migrate users from a legacy platform to a new application built on modern technologies. At the core of the transition was a complex requirement: enhancing the SEC form-filling process (Internal Revenue Service or similar regulatory body) to make it faster, more efficient, and less error-prone for clients, all while ensuring compliance with strict tax and legal standards.
The migration required not only technical modernization, but also deep understanding of regulatory constraints, legacy data structures, and usability pain points.
The Process
Oceans assembled a team of .NET and React developers, working in close coordination with business analysts and legal/tax experts. The engagement focused on:
- Rebuilding the platform on .NET 6 and React to improve performance, UX, and maintainability.
- Ensuring compatibility with SEC systems and their validation mechanisms.
- Managing tight delivery timelines without compromising on regulatory and data security standards.
- Collaborating with domain experts to map out edge cases in tax and legal form requirements.
The Team
The Oceans team worked in a multidisciplinary setup: technical experts drove the platform rebuild, while business analysts bridged the gap between stakeholder expectations and functional execution. Legal and compliance advisors were involved as needed to validate workflows and ensure form logic adhered to official standards.
The Solution
The result was a streamlined and secure system for SEC form submissions, enabling faster processing, fewer user errors, and increased satisfaction for the client’s end users. The new platform sets a solid foundation for future scalability while positioning the client as a forward-thinking player in the investment services space.
This project demonstrates how Oceans helps organizations modernize mission-critical workflows, even when they intersect with complex tax, legal, and regulatory environments.
