FINANCIAL DATABASE SERVICES

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A Broker Dealer Technology Company

ABOUT

In 1979, Financial Database Services pioneered broker dealer automation with CAESAR, a

commission processing and compliance system. Today CAESAR is a powerful, mature and proven broker dealer back office management solution. CAESAR is installed at fully-disclosed broker dealers, banks and large insurance broker dealer divisions.

For more than three decades, Financial Database Services has been helping companies manage Information Technology (IT) in all kinds of environments. From the mainframe to distributed to virtualized and cloud, we have a history of

developing and delivering powerful, integrated software to help customers improve performance and better compete, innovate and grow their businesses.

Financial Database Services is a leading provider of enterprise technology solutions for the financial services industry. Our technical expertise, industry knowledge, and experience allow us to envision, design and deploy broker dealer compliance and commission processing systems. In addition, FDS provides custom web application development, hosting and other technology services.

Our direction and vision are to promote greater independence and efficiency of broker dealers. We empower people to perform more efficiently with technology by simplifying interaction with complex platforms.

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PRODUCTS & SERVICES

SOFTWARE PRODUCTS

Financial Database Services offers individual point solutions and core broker dealer back office technology solutions.

FDS’ point solutions can be used without the CAESAR broker dealer platform or integrated with CAESAR to create a fully integrated front, middle and back office solution.

All products are available as baseline products to be used as is or can be customized to meet your specific business requirements.

CORE BROKER DEALER SOLUTIONS

CAESAR - An enterprise broker dealer platform for the “3 C’s”: Clients, Compliance and

Commissions. CAESAR comes in a “Quick Start” baseline package ready for implementation, or can be fully customized to meet your specific business requirements.

CONNECT - Is a simple and easy-to-use field tool (App) designed for registered reps, investment advisors and OSJ’s.

GenCOM - A front and back office solution for small-to-mid size broker dealers for new account on-boarding, suitability check, and back office broker dealer commission processing and compliance functions.

POINT SOLUTIONS

CAESAR Icon - A Business Intelligence application which allows you to aggregate data from multiple data sources to perform analysis, publish reports, create dashboards and scoreboards to help you better understand business performance and make informed decisions faster. CAESAR Registrar- A new Rep on-boarding Form U4 solution for broker dealers. Registrar can be used for amendments, update and annual compliance questionnaire (ACQ).

ECM/DCM - We are strategic business partners with Laserfiche, LaserApp, ETI “ Quik”, Docusign and other digital document workflow solutions.

ADDITIONAL SERVICES

Hosting - SSAE 16 certified data center facility and tier 4 disaster recovery colocation.

Data Engineering - Interface design and development, data engineering and quality assurance. Programming - Custom software engineering design and development in IBM Informix 4GL, Genero® Business Development Language (BDL), PHP, Java, HTML and more.

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CAESAR™

CAESAR™ - A PROVEN BROKER DEALER PLATFORM

CAESAR is a broker dealer commission processing and compliance software platform. Offered as an “out-of-the-box” installation or as a fully-customizable solution, CAESAR gives you the strength you need to streamline your direct, brokerage and advisory business processes now, and provides the capability to grow into the future.

Operational Efficiency

CAESAR provides operational

efficiency through sophisticated data aggregation from third party sources such as Albridge, DST, DTCC and clearing firms like National Financial, Pershing, and RBC/DAIN. Consolidate rep, client, transaction and

commission information into one central repository for your business.

Commission Processing

Whether you pay commissions by production grid, rolling calculations, or a simple flat rate for all business, CAESAR has you covered. CAESAR’s extensive and flexible commission algorithms enable you to meet varied rep payout schedules and breakpoints. CAESAR’s detailed commission statements are available to reps on-line through Field CAESAR, thereby reducing commission related calls to the back office.

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.

Intuitive Reporting

Consolidating client, rep and production data with CAESAR is an important aspect of managing broker dealer business. Access to this data in a timely manner enables you to make strategic decisions, and leverages your investment in CAESAR.

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CONNECT

ADVISOR TECHNOLOGY

Connect is a commissions and operations App designed for registered reps, investment advisors and OSJ’s of broker dealer firms. Connect is simple and very easy-to-use.

Connect is device and platform agnostic so compatibility is NEVER an issue. No matter how or where you log into Connect, you’ll always have the same experience. Just login and it works!

SOME OF THE FEATURES

• Customizable Dashboard • Alerts and Actionable Items • Licensing detail and renewal • Electronic Workflow

• Client Account Detail

• Mobile Client Connect – Call/Email • Transactional Detail

• Top Clients by AUM, Production • Commission Detail

• COD – Commissions-on-demand

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REGISTRAR

CAESAR REGISTRAR

™

CAESAR Registrar is an online wizard that guides representatives through the Form U4 process. CAESAR Registrar streamlines the Form U4 process for both representatives and the back office. Completed Form U4’s are approved by the back office and electronically transmitted to FINRA, getting new reps producing for your firm earlier. U4 Amendments can be processed through CAESAR Registrar, enabling reps to easily provide updates on demographic changes, Outside Business Activity, FINRA Licenses, Jurisdiction Registrations, Exam Requests and Annual Compliance Questionnaires. STREAMLINE AND REDUCE COSTS CAESAR Registrar cuts down the registration timeline via the electronic data validation between the Reps, Back Office, and FINRA. The ease of form filling within this solution creates legible entries, enabling the back office to conduct rep reviews more effectively. Your unique registration workflow can be integrated into CAESAR Registrar, with data review and workflow stop points for compliance review. CUSTOM FORM APPS Although initially developed for the Form U4 process, CAESAR Registrar can be customized for any form filling need you may have. Set up stop points to review question/answer data review and auto‐generate emails to guide users through next stages. Auto‐populate forms so they are legible and archived in PDF format for easy retrieval. WHAT USERS ARE SAYING

"CAESAR REGISTRAR is a BIG ADVANTAGE. It keeps our reps from being intimidated by the big

registration packets we used to send and it's so much easier for them to use....but the real advantage is for the Back Office...less keying to do in the CRD, and we can easily read the documents as opposed to the hand written ones we used to get."

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SERVICES

HOSTING

Whether you’re a CEO or an IT manager, you need a cost‐effective and scalable approach to managing your broker dealer’s technology infrastructure. Utilizing FDS as your Application Service Provider provides immediate access to a complete broker dealer operations and commission processing environment. Eliminate the costs and risks of building and maintaining an internal commission processing, document imaging and field‐force technology infrastructure. FDS has a state‐of‐the‐art data center with formidable capabilities that reduce ongoing technology costs associated with managing Broker Dealer operations. FDS provides Tier 4 hosting solutions for your mission critical servers and computer systems featuring compartmentalized security zones controlled by biometric access controls methods. With Financial Database Services you have the opportunity to realize economies of scale and the flexibility to expand your corporate technology solutions.

BUSINESS CONTINUITY / DISASTER RECOVERY

Financial Database Services offers broker dealer business continuity services (disaster recovery) that provide fast and proven reliability when you need it most. Our business continuity services ensure your broker dealer is operational in the case of an emergency. If your primary site goes off‐line for any reason, your administrator will be notified to activate the virtual Recovery Node(s).

CUSTOM DEVELOPMENT

FDS can design and create custom software solutions for you. We have more than twenty years design and development experience in 4GL, IBM Informix Genero® Business Development Language (BDL), PHP, Java, HTML and more. We can also create design documents for your software engineering projects.