Press release
Consolidated Audit Trail (CAT) Compliance: Streamlining Reporting with Capital Market Solutions
But while its intent is regulatory clarity, CAT compliance has created significant complexity for financial firms. With ever-evolving deadlines, technical specifications, and strict error thresholds, getting CAT right is no longer optional - it's business critical.
Enter Capital Market Solutions (CMS) and its cutting-edge Regulatory Surveillance and Management System (RSMS) - a platform purpose-built to simplify and automate the CAT compliance journey.
Know more about Finra CAT: - https://capmarketsolutions.com/cat/
What is the Consolidated Audit Trail (CAT)?
CAT is a centralized system developed by FINRA and overseen by the SEC to capture comprehensive order and trade data across all U.S. exchanges and FINRA-regulated entities. It enables regulators to trace the full lifecycle of every order - from initiation through routing, modification, and execution - across equities and options.
Why CAT matters:
Enhances market surveillance and fraud detection
Speeds up regulatory investigations
Increases accountability in high-frequency trading environments
Know more about Consolidated Audit Trail (CAT) Compliance: -https://capmarketsolutions.com/cat/
The CAT Compliance Challenge
For firms, CAT compliance is technically demanding. It involves:
Reporting complex event sequences with millisecond precision
Assigning and tracking CAT Reporter IDs and Firm Designated IDs (FDIDs)
Maintaining linkage integrity between customer data (via CAIS) and order activity
Meeting daily submission deadlines and handling corrections quickly
Avoiding costly error penalties and compliance audits
Traditional systems are often fragmented, with data siloed across departments. This creates a fragile reporting process prone to exceptions and delays.
Know more:- https://capmarketsolutions.com/cais/
The CMS Solution: RSMS for End-to-End CAT Compliance
At CMS, we recognized that firms need more than just tools - they need a scalable, intelligent platform that turns compliance into a streamlined operation. That's why we built RSMS, a cloud-based solution designed to:
Centralize Trade Data Reporting
RSMS aggregates order lifecycle data across internal systems to prepare, validate, and submit CAT reports in the required schema and format.
Automate FDID Scrubbing & CAIS Integration
Our platform syncs with CAIS data to ensure accurate account linkage, minimizing mismatches and reporting errors.
Real-Time Exception Management
Receive alerts and insights into reporting errors or late submissions with intuitive dashboards that help compliance teams act swiftly.
Audit-Ready Reporting
Generate audit trails, historical submissions, and compliance summaries to prepare for FINRA inquiries or internal oversight reviews.
Cloud-Based & Secure
Access compliance operations securely, from anywhere. RSMS's fully hosted infrastructure eliminates the need for on-premise resources and ensures constant regulatory updates.
Benefits of CAT Compliance with RSMS
Reduced Operational Risk: Minimize manual intervention with automated validation and exception handling.
Accelerated Submission Cycles: Meet daily deadlines confidently with streamlined workflows.
Regulatory Confidence: Stay in sync with changing CAT technical specifications.
Compliance Efficiency: Lower your cost of compliance while increasing accuracy and speed.
Real Results, Real Clients
A leading mid-tier broker-dealer using RSMS saw:
90% reduction in CAT submission exceptions
Improved on-time submission rates from 82% to 99.8%
Faster resolution of data linkage errors across CAT and CAIS
Conclusion: Future-Proof Your Firm with CMS
The regulatory burden from CAT won't go away - but how you handle it can set your firm apart. With CMS and the RSMS platform, CAT compliance becomes not just manageable, but a strategic advantage. By automating, validating, and optimizing your reporting processes, we help you stay ahead in a fast-evolving market.
Contact:
Capital Market Solutions
Email: sales@capmarketsolutions.com
Office: New York, NY
Visit: www.capmarketsolutions.com
About Capital Market Solutions
Capital Market Solutions (CMS) is a leader in regulatory, compliance, and reporting solutions for investment banks, broker-dealers, hedge funds, and more. For years, CMS has helped firms by providing reliable and flexible tools to meet regulatory demands. The cloud-based RSMS CAT modules are among CMS's most trusted products, delivering secure, accurate, and efficient compliance processes. By combining smart technology with expert regulatory knowledge, CMS continues to simplify and enhance compliance for financial firms around the world.
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