Be Audit Ready with Regulatory Surveillance and Management System (RSMS) for CAT & CAIS Compliance

 

Keeping up with FINRA CAT and CAIS regulatory demands is complex. The Regulatory Surveillance and Management System (RSMS) by Capital Market Solutions consolidates trading and reporting data into a single platform to simplify compliance management. With RSMS’s Comparative Review feature, firms can cross-check CAT reports against internal data easily, ensuring accuracy and audit readiness. Integrated with CAIS-Connect, it streamlines Customer Account Information System (CAIS) reporting, facilitating collaboration between buy and sell side firms and adherence to FINRA CAIS requirements. RSMS empowers firms to respond to regulatory inquiries swiftly, reinforcing trust and mitigating risk in a challenging regulatory landscape.

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