Back Office

commission processing

Compensation

  • Create DOL Level Fee or Variable Rate Schedules
  • Manage Complex Comp and Override Grids
  • Manage Approved Products
  • Manage Insurance and FINRA Securities Licensing

Compliance

Compliance

Rules Engine

  • Highly Configurable Compliance Rules Engine
  • Automated Investment Objective and Suitability Checks
  • Auto Hold / Release
  • DOL Fiduciary Rule Solution

U4 Registration

FOrm U4 automation

CAESAR Registrar

  • Easy Form U4 On-boarding
  • Efficient
  • Electronic CRD
  • U4 Amendments
  • Paperless Processing
  • Back Office Review
  • Annual ACQ

Advisor Apps

Applications for financial advisors

CAESAR Connect

  • Compliance Alerts
  • Configurable Workflows
  • Digital Form Processing
  • Production Detail
  • License and Appointment Renewals

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