CAESAR – A Proven Broker Dealer Platform
CAESAR is a powerful and proven Broker-Dealer compensation and compliance processing platform for RIA, Direct and Brokerage business.
Front Office Workflow Fused with Back Office Processing
Docupace Technologies and Financial Database Services, have joined forces to connect Docupace’s ePACS Front Office workflow with CAESAR’s digital compliance review and compensation processing.
Broker Dealer Compliance
CAESAR’s compliance rules engine provides you the flexibility needed to create broker dealer compliance rules that fit your business model and risk profile. All transactions are validated against the broker dealer’s compliance software (rules engine) to ensure conformance with established operational processes. Potential compliance violations are flagged for further review and commission can be placed on hold. Books & Records letters can be tracked, generated and mailed to clients, supporting compliance with FINRA regulations.
Whether you pay compensation by production grid, rolling calculations, or simply have a flat rate for all business, CAESAR has you covered. CAESAR’s extensive and flexible commission software algorithms enable you to meet varied rep payout schedules. Eliminate the manual efforts required to track and maintain rolling rep commission payout grids and breakpoints. And CAESAR’s Detailed Compensation Statements are available to reps on-line through Field CAESAR, thereby reducing compensation related calls to the back office.
CAESAR provides operational efficiency using proprietary data aggregation utilities to consolidate data from third party sources such as Albridge, DST, DTCC (NSCC) and clearing firms (National Financial, Pershing, RBC/DAIN and Southwest Securities). Our proprietary technology consolidates Rep, Client, Transaction and Commission information into one central repository for increased throughput of your business.