ACCOUNT MAINTENANCE
Field CAESAR allows representatives to enter client accounts into CAESAR for approval by a supervisor or the back office. Client accounts can be entered into Field CAESAR's workbench and saved as a provisional account. Information can be added at any time as it becomes available to the representative. Once complete, the information can be moved to CAESAR's active client area. Representatives can access detailed account information on their clients including Positions, Investments Objectives, Risk Tolerances, and Fund Accounts .

Once a representative has completed entry of the account, CAESAR will validate that all necessary fields are filled in as required by parameters defined by the back office. As soon as Field CAESAR validates the account as complete, the representative can move forward with transaction entry and/or form filling.
 

TRANSACTION ENTRY
Representatives can enter transactions into Field CAESAR for immediate approval by a supervisor or the back office. During transaction entry, CAESAR's compliance module will detect compliance infractions and place the transaction on hold as specified by the Broker/Dealer. Once a transaction has been entered, the representative can immediately view any compliance infractions associated with it, allowing them to rectify issues in a timelier manner.

Field CAESAR front ends the CAESAR back office system in real time, therefore as transactions are loaded into the back office from third party sources, such as the NSCC, DST, and clearing firms, this information is displayed in the field as well, allowing representatives to see all their business in one place.

Interactive Trade Blotter
Field CAESAR provides users with a powerful data-mining tool to create transaction blotters. Field CAESAR's interactive Trade Blotter cube provides representatives and OSJs with a consolidated log of all their clients' transactions. Users can drill down on data elements, manipulate sort criteria, modify data sets, and graph information in a variety of formats. Report views can be customized by the user to meet specific reporting needs.






 

FORM FILLING
Field CAESAR seamlessly interfaces to Quik!, a leading library of financial forms. Through Field CAESAR, representatives can access a repository of thousands of up-to-date forms, indicate which ones they want to electronically fill, and with a click of the mouse, merge account information from Field CAESAR onto the selected forms. Broker/Dealer specific forms can also be integrated into the Quik! library, enabling all forms to be auto filled through Field CAESAR.

Forms can then be printed for signature, scanned and electronically sent to the OSJ or back office for approval.

For more information on FDS' paperless office solution, click on the CAESAR Imaging portion of the bridge.



 

COMMISSIONS
Field CAESAR gives representatives access to real time information on their commissions. Representatives can view detailed information, such as the amount to be paid on the next commission run, commissions held due to compliance infractions, as well as PDF's of past commission statements. Having access to this information allows representatives to proactively resolve issues and get paid in a timely manner and also greatly reduces phone calls to your back office staff.

Field CAESAR also has a “Commissions on Demand” feature that allows representatives to view commission due them and perform a commission run for themselves and have this money automatically sent to their bank account
  SUPERVISORY FUNCTION
Field CAESAR allows for immediate electronic principal approval on all new accounts and transactions entered into the system. Through Field CAESAR they can reference detailed information on a client, transaction, product, and representative to aid them in making informed supervisory decisions. Supervisors can also monitor pending and historical commissions for all representatives under their supervision, and view detailed information about commissions on compliance hold.
 

TECHNOLOGY
Field CAESAR's web based technology provides a user-friendly experience for representatives and requires minimal end-user training. FDS will work with your back office team to identify any customizations required to display or process information to meet your specific needs.

Financial Database Services hosts Field CAESAR servers at our data center in San Diego, saving your Broker/Dealer the time, money, and effort required to support a field application.

Permission Driven
Field CAESAR is a permission driven application that allows different levels of views and functionality based upon back office parameters. This application offers assistants the ability to complete multiple tasks for their representatives. Based upon permission levels granted by the representative, assistants can perform specific functions for the producers they support. With desktop access, assistants can add client information, print forms, enter transactions, and review compliance holds. Assistant permissions allow data to be entered into the system in a timely manner; thus enabling representatives more time to focus on the needs of their clients

Web Services
The use of web services in Field CAESAR allows for fast and simple sharing of data between parties without time-consuming custom coding. Since all communication is in XML, web services are not tied to any one operating system or programming language allowing communication between databases to happen in real time.