SRO Calendar

Design • Development • SEO

The Client

After spending 25 hours and $15,000 preparing for their first audit, SROcalendar decided to create a detailed electronic filing system including a calendar of events, sample compliance documents, a support forum and more. Over the next seven years they refined their plan and achieved a perfect exam result with the National Futures Association. Once they had finally learned how to achieve compliance, they realized they had something special and wanted to share it with other companies – enter Clarity.

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Existing Problems

The first was how we securely find a way to share all of the compliance documents they had created? So Clarity helped design a website that broke all of their technology into modules for each compliance area: and SEC Investment Advisor’s module and businesses who manage assets, a FINRA module for broker dealers, an NFA module for businesses that come under the National Futures Association Regulations and an MSRB module for brokers transacting in municipal securities. That was the easy part. The hard part was to now build an application that could manage the documents, audit logs, users, alerts, scheduled document updates and much more.

Our Solutions

Clarity built an incredibly robust application that would allow a user to download and digitally sign compliance documents and the back-end application would automatically synch and keep copies of everything. Built in alerts tells the user when to update each document, roles allow the clients to delegate sub-tasks within the application, and the back end automatically receives updates from corporate as new regulations and documents are produced. Next Clarity had to build the marketing website, marketing videos and product demo videos to help the sales team showcase their unique and patent pending application.

SRO Calendar

Decrease the amount of time spent on compliance without sacrificing standards

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The Benefits

After seven years of hard work, the first and most important benefit, was that Clarity helped the client monetize that hard work, making everything that they had built, publicly available. Marketing videos and product demos allow a fairly complex application, be more easily sold and demoed. The application has a centrally managed repository, allowing updates to alerts and documents to be automatically pushed to every client, keeping them up to date on all regulatory compliance issues. Finally, an integrated forum was implemented to allow companies to share their experiences amongst themselves, helping each other know how to deal with incoming auditors.

 

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Technologies

The site’s CMS is DNN Evoq platform. The back end is custom-build .NET, using Microsoft’s Silverlight to keep locally edited documents in sync with the online Amazon S3 data cloud, providing SEC 17a-3 and 4 WORM-compliant data storage. SSL provides the encryption, MSSQL is the database, and many controls were used (Telerik, Angular.js, JavaScript, JQuery, more).

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