SROcalendar LLC

Business Consulting and ServicesNew Hampshire, United States2-10 Employees

SROcalendar is a web based compliance solution designed to lower costs and minimize the day to day compliance impact to Registered Investment Advisers, Investment Advisers, and Broker Dealers.  With over 25 years’ experience in the financial industry, including starting our own firm, the founders of SROcalendar are well aware of the daily compliance grind for many in the industry.  

The Alerts calendar with its corresponding rules based filing system creates a compliance infrastructure. The filing system includes sample policies and procedures providing guidance on regulatory matters along with our custom fields which eliminate the need to print, sign and scan help ensure details are not missed.  We offer four industry specific modules that are customizable to meet your regulatory needs while our web based product allows for a scalable infrastructure meeting the challenges of multiple offices. Our forum is available only to current users allowing for discussion of current compliance issues, inquiries prior to or after a regulatory audit or as a media tool to communicate current industry trends. 

Our service is an annual subscription which includes: 

* The initial setup of the filing structure including as many calls and emails until complete 
* Example Policies and Procedures 
* 500 gigabytes of WORM drive storage  
* 5 initial users on the site 
* Mock audit exams are provided upon request for an additional charge. 

Regardless of the size of your investment advisory business, SROcalendar’s efficient and detailed filing system is customizable to meet your needs. 

Invest 3 minutes of your time to watch our demo video. http://srocalendar.com/Solutions/SECModule.aspx

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