CapMarkets Solutions Unveils How RSMS Ensures CAIS Data Consistency for Seamless CAT Compliance

As U.S. broker-dealers face increasing scrutiny from FINRA and the SEC regarding data quality in Customer Account Information System (CAIS) and Consolidated Audit Trail (CAT) submissions, CapMarkets Solutions is leading the charge toward automation-driven accuracy with its flagship Regulatory Surveillance and Management System (RSMS). The firm's latest blog, "The Critical Role of Data Consistency in CAIS Submissions: How RSMS Empowers Firms," highlights the operational and compliance challenges firms face - and how RSMS offers a robust solution.

Check out :- https://capmarketsolutions.com/cat/
At the heart of the RSMS platform is CAIS-Connect, a purpose-built module that facilitates real-time tracking, validation, and correction of CAIS data, all within a single centralized interface. Firms using RSMS have reported significant reductions in CAIS-related rejections, thanks to its ability to detect incomplete relationships, mismatched identifiers, and inconsistent customer hierarchies - issues that can otherwise lead to FINRA CAIS non-compliance and costly remediation efforts.

"Most firms underestimate how fragmented their upstream systems are - from CRM to account onboarding to trade processing," said Joseph Sammarco, Founder of CapMarkets Solutions. "What RSMS and CAIS-Connect do is unify that data, run intelligent validations, and give compliance teams clear visibility into every submission, every exception, and every fix."

Check out :- https://capmarketsolutions.com/cais-connect/

A Rising Bar for CAT and CAIS Submissions
With FINRA stepping up enforcement of CAT Compliance standards, particularly around CAIS Phase 2 reporting, firms must not only submit complete and timely records but ensure those records are logically and contextually consistent across various internal systems and reporting channels.

The RSMS solution addresses these exact challenges. Its architecture supports:
Multi-source data ingestion and normalization

Dynamic validation rules aligned with CAIS technical specifications

Real-time exception monitoring and resolution workflows

Audit trails for every field correction and submission change

Scheduled and on-demand reconciliations with CAT/CAIS status feedback

This makes RSMS much more than just a compliance tool - it is a data integrity command center for modern broker-dealers.

Trusted by Broker-Dealers Nationwide
CapMarkets Solutions works with a growing portfolio of small to mid-sized firms, many of which lack the internal resources to build their own regulatory data infrastructure. RSMS gives them a plug-and-play solution that supports not only FINRA CAT and CAIS compliance but ongoing surveillance, error trend analysis, and proactive remediation.

In a regulatory environment where one mismatch can lead to dozens of submission rejections, RSMS helps compliance teams get ahead of errors - not chase them.

The full blog, "The Critical Role of Data Consistency in CAIS Submissions: How RSMS Empowers Firms," is available at:
🔗 https://capmarketsolutions.com/the-critical-role-of-data-consistency-in-cais-submissions-how-rsms-empowers-firms/

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.