Is Your Firm Audit-Ready for FINRA CAT? CMS's RSMS Can Help You Stay Ahead

As regulatory scrutiny intensifies around FINRA CAT (Consolidated Audit Trail) compliance, many firms still struggle to meet the evolving demands of CAT WSPs (Written Supervisory Procedures) and CAIS (Customer and Account Information System) reporting. From inconsistent supervisory controls to missing data validations, the gaps can leave firms vulnerable to audits, enforcement actions, and reputational risk.

At Capital Market Solutions (CMS), we understand the complexities that surround CAT compliance. That's why we've developed RSMS - our Regulatory Surveillance Management Solution - to offer firms a robust, automated platform to support CAT and CAIS reporting, enhance supervisory procedures, and reduce risk exposure.

Where Firms Fall Short - And How RSMS Fixes It
In our recent blog, "Are Your CAT WSPs Audit-Ready? Key Areas Firms Often Overlook," we detail the most common oversights in CAT compliance, such as:
Lack of proactive CAT data validations

https://capmarketsolutions.com/are-your-cat-wsps-audit-ready-key-areas-firms-often-overlook/

Inadequate supervision of error correction workflows
https://capmarketsolutions.com/rsms/

Poor integration of CAIS updates with WSPs

Limited audit trail documentation for regulatory review

RSMS directly addresses these shortcomings by automating surveillance and offering real-time oversight of both CAT and CAIS filings. With RSMS, your firm gains the power to identify gaps before FINRA or the SEC does.

RSMS: The Future of CAT Compliance Oversight
CMS's RSMS platform is not just a tool - it's a strategic compliance partner.

https://capmarketsolutions.com/cais-connect/
Here's what it delivers:

End-to-End CAT/CAIS Monitoring

Customizable Alerts & Error Resolution Workflow

Audit-Ready Reporting Dashboards

Integration With Your WSPs for Seamless Regulatory Mapping

Whether you're a small broker-dealer or a large clearing firm, RSMS ensures your CAT and CAIS submissions are not only accurate but defensible.

Stay One Step Ahead of Regulatory Examinations
With FINRA CAT audits becoming more frequent and complex, firms must shift from reactive to proactive compliance. RSMS helps you get there - by embedding surveillance, validations, and WSP alignment directly into your daily operations.
https://capmarketsolutions.com/cat/
Don't wait for a regulatory inquiry to expose weak links. Take action today with CMS RSMS - the complete compliance backbone for CAT, CAIS, and more.

Contact:
Capital Market Solutions
Email: sales@capmarketsolutions.com
Office: New York, NY
Visit: www.capmarketsolutions.com

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.

This release was published on openPR.