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Broker Dealers

Broker Dealers Solutions

CASO’s ECM Toolbox for broker dealers harnesses our experience and expertise to create a suite of out-of-the-box solutions that are affordable, secure, and scalable.

Our solutions and services allow you to focus on your core business. CASO cost-effectively provides ECM services including document scanning, capture, processing, eForms, eSignature, workflow, electronic archiving and retrieval, systems integration, and document conversion that meet CFR Section 240 Part 17a-4 regulatory requirements for replacing hardcopy with electronic images. Enjoy all the benefits of Electronic Content Management for a fraction of the cost of an in-house system.

  • CASO’s Cloud-based solutions eliminate capital expenditures, ongoing hardware, software, and systems support, and maintenance costs with a monthly per gigabyte charge as an operational expense.
  • CASO replaces shipping of documents by receiving and processing images captured at the Individual, Branch, and OSJ levels through scanning, emails, and electronic images.
  • CASO will show how the Total Cost of Ownership of a Cloud Solution can be considerably less than an on-premise Enterprise system.

CASO’s eForms, eSignatures, and image workflows automate trade processing, account opening, cashiering, transfers, licensing, book of business, and other back office processes.

CASO partners with the leader in on-demand electronic content management, Digitech Systems’ ImageSilo, to store metadata and images, which we then integrate into line of business applications such as SAP and Oracle. CASO also provides a direct interface to clearing brokers such as Pershing to enable the routing of electronic documents directly into clearing broker workflows.

CASO’s comprehensive solutions begin with conversion of existing hardcopy as the foundation for an ongoing Cloud based ECM Archive/Retrieval system. This system can then grow to include eForms and image Workflows to increase document security and operational efficiency while decreasing cost for any Introducing Broker.

ECM Toolbox AP Workflow

The CASO team has been exceptional. They completed the work faster and cheaper than we could have, and have always accommodated our needs. It is a pleasure working with them.

Richard Ajimati – SUNY Downstate Medical Center

Quick Downloads

Resources at your fingertips! Simply click any solution below to download a free PDF. Not seeing what you’re looking for? Check out our Resource Center for additional information.

Article: NYSID’s Economic Impact on New York Download

Data Sheet: Document ScanningDownload

Data Sheet: On-Site ScanningDownload

Case Study: SUNY Downstate Medical CenterDownload

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CASO Document Management