How RSMS Protects Financial Firms from Regulatory Risks

 

Today’s financial environment demands strict adherence to regulations like FINRA CAT and CAIS. Non-compliance can cost firms millions, but solutions like Capital Market Solutions’ Regulatory Surveillance and Management System (RSMS) make compliance simple and robust.

  • What is RSMS?
    RSMS is a cloud-based platform designed to centralize compliance workflows, ensure regulatory reporting precision, and proactively prevent errors as required by mandates such as FINRA CAT and CAIS.
  • The Cost of Non-Compliance:
    Financial penalties, reputational damage, and operational inefficiency are clear risks for firms that fall short of CAT and CAIS reporting measures.
  • How RSMS Supports Compliance:
    With pre-submission validation and exception tracking, RSMS helps firms identify gaps and resolve issues before they escalate.
    Solutions like CAIS-Connect streamline the management and sharing of client account data, ensuring reliable CAIS submissions.
  • Industry Impact:
    Financial firms using RSMS report improved audit outcomes, reduced regulatory scrutiny, and fewer submission errors, supporting a culture of compliance and trust.
  • https://capmarketsolutions.com/the-cost-of-non-compliance-how-rsms-helps-prevent-financial-penalties/

Conclusion
To avoid risk and secure a competitive edge, adopting RSMS is essential for today’s regulated firms.


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