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 environment, the answer lies in adopting smarter, cloud-native solutions that go beyond traditional storage. Compliance is not just a box to check-it is the foundation of trust and long-term success.
https://capmarketsolutions.com/cat/

The Compliance Challenge
Legacy storage systems, whether homegrown or purchased years ago, were designed for a simpler era. While they satisfy the minimum requirement of WORM retention, they fall short of addressing today's compliance realities:
Heavy Reliance on Manual Oversight: Without integrated tools, compliance staff must manage exceptions, reconciliations, and incidents manually-an error-prone and resource-heavy approach.

Limited Monitoring: Outdated platforms provide little to no automated alerting, leaving gaps undetected until audits or reviews.

Poor Integration and Supervisory Controls: With storage isolated from key compliance workflows, teams are forced to stitch together disparate processes-introducing risk and inefficiency.

Inadequate Governance: Retrieving and auditing records is often slow and difficult, exposing firms to scrutiny during examinations.

These gaps don't just create operational headaches; they expose firms to regulatory, reputational, and financial risks.
https://capmarketsolutions.com/cais-connect/

Introducing RSMS Vault
At Capital Market Solutions (CMS), we recognized that legacy storage has become the weakest link in the compliance chain. That's why we built RSMS Vault-a secure, cloud-native platform designed to redefine SEC 17a-4 compliance.
RSMS Vault is more than storage-it's a command center for compliance oversight. Purpose-built to be secure, scalable, and future-ready, it delivers not only robust WORM-compliant retention but also automation, governance, and supervisory control that older systems simply can't provide.
With RSMS Vault, compliance officers, executives, and operations leaders gain a modern platform that unites record retention, monitoring, access control, and integration-delivering confidence and control in one intuitive solution.

https://capmarketsolutions.com/rsms-vault/
Why Now?
The urgency to modernize is undeniable. Regulations are tightening, workflows are more complex, and the costs of non-compliance continue to rise. At the same time, the need for cloud accessibility, automation, and supervisory visibility has never been greater.
RSMS Vault closes the compliance gap by moving firms beyond storage-only thinking into a new era where oversight, efficiency, and audit-readiness are built directly into the platform.

Key Features of RSMS Vault
Immutable, WORM-Compliant Storage: Secure write-once-read-many retention, fully aligned with SEC 17a-4.

Advanced Data Security: End-to-end encryption with flexible, user-controlled retention policies-including HOLD.

Supervisory Controls: Real-time monitoring of incoming data streams with automated exception tracking.

Governance & Self-Audit: Built-in oversight and review tools ensure audit readiness at all times.

Role-Based Access: Entitlement-driven permissions for secure search, retrieval, and export.

Cloud-Native Infrastructure: Modern, resilient, and scalable architecture.

Seamless Integration: Out-of-the-box compatibility with existing compliance and business systems.

https://capmarketsolutions.com/5-regulatory-risk-blind-spots-heres-how-rsms-uncovers-them/

Why Capital Market Solutions?
CMS has a proven record of innovation in regulatory technology. Our flagship RSMS platform, with its CAT and CAIS modules, is already trusted by leading firms to simplify complex reporting and strengthen compliance oversight.
With RSMS Vault, CMS is raising the bar once again-combining decades of compliance expertise with next-generation technology to deliver a solution that is secure, scalable, and future-proof.
When CMS powers your compliance framework, you're not just meeting SEC 17a-4 requirements-you're building resilience for tomorrow.

Transform Compliance into an Advantage
RSMS Vault is designed to transform SEC 17a-4 compliance from a burden into a business advantage. By integrating retention, automation, and oversight into a single cloud platform, it reduces manual effort, improves audit readiness, and gives compliance teams the clarity they need to act with confidence.
At CMS, we believe compliance is more than storage-it's about visibility, control, and proactive management. RSMS Vault delivers exactly that.

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.