Capital Market Solutions

  In today’s rapidly evolving financial markets, regulatory compliance is far more than a checkbox task — it’s a strategic imperative that can make or break an institution’s reputation. Firms are under increasing pressure to adhere to  FINRA CAT  and  FINRA CAIS  rules, manage exceptions proactively, and maintain full audit trails. This is where integrated systems like  Regulatory Surveillance and Management System (RSMS) ,  Customer Account Information System (CAIS) , and the bridge  CAIS-Connect  come in. Together, they enable seamless  CAT Compliance  and smart, scalable oversight. The Backbone: RSMS (Regulatory Surveillance and Management System) At the core of an effective compliance infrastructure lies RSMS — a cloud-based platform offering integrated surveillance, validation, reporting, and case management tools. It continuously monitors trading and order data to detect suspicious patterns, exceptions, or deviations from regu...

Regulatory expectations are only moving in one direction — up. For broker-dealers and investment firms, the twin challenges of  Consolidated Audit Trail (CAT) compliance  and  Customer Account Information System (CAIS) reporting  have created an environment where accuracy, transparency, and readiness are non-negotiable.  FINRA CAT  and  FINRA CAIS  requirements are tightening, and regulators are putting firms under sharper scrutiny than ever before. The real question is:  Is your firm truly prepared for an audit, inquiry, or data quality review? The answer often comes down to the systems in place. Relying on siloed tools, manual reconciliations, or last-minute scrambles is no longer sustainable. This is where the  Regulatory Surveillance and Management System (RSMS)   from  Capital Market Solutions  becomes a game-changer. Why Comparative Reviews Matter in FINRA CAT At the core of  FINRA CAT compliance  is the co...

  The U.S. securities industry has entered an era of unprecedented regulatory oversight. With the introduction of the  Consolidated Audit Trail (CAT) Compliance  and  Customer Account Information System (CAIS)  reporting obligations, broker-dealers are expected to manage enormous volumes of highly detailed data with speed, accuracy, and transparency. Regulators like the SEC,   FINRA CAT , and  FINRA CAIS  have made it clear: incomplete, late, or inaccurate reporting will not be tolerated. But despite investing heavily in compliance operations, many firms still face critical blind spots in their Written Supervisory Procedures (WSPs) and reporting workflows. These blind spots — whether siloed data, missed error corrections, or weak audit trails — create risk that can quickly escalate into fines, failed audits, and reputational damage. This is where the  Regulatory Surveillance and Management System (RSMS)  from Capital Market Solutions com...

  In a world of surging regulatory demands, fragmented systems, and ticking compliance clocks, manual processes no longer suffice. Financial firms face growing scrutiny from bodies like FINRA and the SEC — with obligations such as  Consolidated Audit Trail (CAT) Compliance ,  FINRA CAIS , and recordkeeping under SEC Rule 17a-4. These obligations require robust, defensible systems that can scale, audit, and adapt. Enter the  Regulatory Surveillance and Management System (RSMS)  — particularly in its cloud incarnation — as the central backbone for modern regulatory reporting, oversight, and defense. Combined with complementary platforms like  Customer Account Information System (CAIS)  and  CAIS-Connect , these tools equip firms to meet compliance obligations holistically, with clarity, control, and confidence. Core Components & Their Roles Regulatory Surveillance and Management System (RSMS) RSMS is the single, centralized environment in which ...