Press release
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.
Permanent link to this press release:
Copy
Please set a link in the press area of your homepage to this press release on openPR. openPR disclaims liability for any content contained in this release.
You can edit or delete your press release Is Your Firm Audit-Ready for FINRA CAT? CMS's RSMS Can Help You Stay Ahead here
News-ID: 4092564 • Views: …
More Releases from Capital Market Solutions

Simplifying SEC Compliance in the Cloud Age with RSMS Vault
For broker-dealer compliance teams, meeting SEC Rule 17a-4 requirements is only half the battle. The rule extends beyond basic record retention-it demands immutable WORM (Write Once, Read Many) storage, supervisory oversight, and support for special provisions such as HOLD. The challenge is clear: how can firms ensure their systems are not only secure and auditable, but also efficient and sustainable-without drowning in manual oversight and fragmented processes?
In today's highly regulated…

Is Your Firm Ready for CAT Regulatory Audits? How RSMS Simplifies Compliance
Feeling the heat of CAT regulatory audits? You're not alone. Compliance expectations from FINRA and the SEC are becoming more complex, and firms are under constant pressure to prove their Consolidated Audit Trail (CAT) compliance. Timely submissions are no longer enough-regulators want complete, accurate data backed by documented Written Supervisory Procedures (WSPs) and regular comparative reviews.
The reality? Many broker-dealers are still relying on outdated systems, siloed data, and manual processes,…
Elevating Regulatory Reporting: How RSMS Cloud Solutions Create a Competitive Ed …
In today's rapidly evolving financial sector, meeting the strict requirements of Consolidated Audit Trail (CAT) Compliance and Customer Account Information System (CAIS) reporting is no longer just about box-ticking-it's about gaining operational control and reducing risk. The Regulatory Surveillance and Management System (RSMS), built on secure, cloud-based technology, is redefining the standards for efficiency, transparency, and scalability across the industry. Integrations with CAIS-Connect and finely tuned support for FINRA CAT…

Powering Precision in Regulatory Compliance: How the Cloud Transforms RSMS, CAIS …
In a world where regulatory demands evolve relentlessly, financial institutions must move beyond legacy systems. Embracing cloud-based RegTech-especially for Regulatory Surveillance and Management System (RSMS), Customer Account Information System (CAIS), and Consolidated Audit Trail (CAT) Compliance-is no longer optional, it's foundational.
1. Reinventing Oversight with RSMS in the Cloud
https://capmarketsolutions.com/cat/
A cloud-native Regulatory Surveillance and Management System (RSMS) empowers compliance teams with real-time, unified monitoring across CAT and CAIS channels. Firms can:
Automate cross-system…
More Releases for CAT
Rising Cat Ownership Fuels Growth In The Cat Food Market: A Leading Driver Behin …
Stay ahead with our updated market reports featuring the latest on tariffs, trade flows, and supply chain transformations.
What Will the Cat Food Industry Market Size Be by 2025?
The market size for cat food has witnessed a hardy growth in the recent past. It is projected to expand from $23.48 billion in 2024 to $25.1 billion in 2025, increasing at a compound annual growth rate (CAGR) of 6.9%. Factors such as…
Cat Climbing Furnitures Market Size, Forecast 2031 by Key Companies- Ware Pet Pr …
USA, New Jersey: According to Verified Market Reports analysis, the global Cat Climbing Furnitures Market size is reached a valuation of USD 2.5 Billion in 2023, with projections to achieve USD 4.0 Billion by 2031, demonstrating a CAGR 7.4% from 2024 to 2031.
What is the current market outlook for the Cat Climbing Furniture industry?
The Cat Climbing Furniture market is experiencing significant growth, driven by the increasing pet ownership worldwide. As…
Innovative Cat Grass and Meat Combo: A Solution For Fussy Cat Eaters
Image: https://ecdn6.globalso.com/upload/p/2108/image_other/2024-09/wps-pictures-1-1.jpegImage: https://ecdn6.globalso.com/upload/p/2108/image_other/2024-09/wps-pictures-1.jpeg
Our freeze-dried cat grass [https://www.yupaipetfood.com/yupai-heart-shape-freeze-dried-snacks-for-cats-and-dogs-product/] snacks are making waves among pet owners: it's a combination of cat grass and meat that is very healthy for cats and solves the problem that some cats don't like to eat traditional cat grass.This innovative snack merges the health benefits of cat grass with the irresistible taste of meat, providing a win-win solution for both cats and their owners.A Unique Blend for…
Cat Milk Market Worth Observing Growth | ZEAL, KIT CAT, TESCO
Cat Milk Market, Global Outlook and Forecast 2022-2028 is the latest research study released by HTF MI evaluating the market risk side analysis, highlighting opportunities, and leveraging strategic and tactical decision-making support. The report provides information on market trends and development, growth drivers, technologies, and the changing investment structure of the Cat Milk Market, Global Outlook and Forecast Market. Some of the key players profiled in the study are PIDAN,…
Global Cat Climbing Furnitures Market 2022 Future Developments - Ware Pet Produc …
The latest investigation report distributed by MarketQuest.biz, the Global Cat Climbing Furnitures Market is needed to note huge advancement throughout the fundamental quantity 2022 to 2028.
The assessment report offers a market share examination to the extent of mass and volume. Supported the first and in-depth secondary analysis, the study has been developed based on recent trends, rating analysis, potential and historic demand & supply, economic condition, COVID-19 impact, and alternative…
Attention Cat Lovers: There Is A New Cat ($CATZ) On The Crypto Block
Despite The Market Turmoil CatzCoin ($CATZ) Has Already Pledged $250K+ For Cat Shelters In Charitable Donations
Sydney, Australia, May 2021: CATZ is a fast-growing community token with an ambition to overtake Dogecoin as the top community coin. They will be donating 5% of the total coin supply to charities that support cats over the next 30 months.
CatzCoin ($CATZ) distinguishes itself from other tokens. The CatzCoin journey is on a solid decentralized…