Capital Market Solutions

Revolutionizing Regulatory Compliance: FINRA CAT Reporting & RSMS by Cap Market Solutions

In the intricate world of financial markets, regulatory reporting isn't merely a formality; it's the bedrock of trust and accountability.

Stay Ahead of Compliance: How RSMS Ensures CAT & CAIS Audit Readiness

As the regulatory landscape continues to evolve, broker-dealers and market participants are feeling increased pressure from the Financial Industry Regulatory Authority (FINRA).

But which aspects of your CAT WSPs are most likely to capture FINRA's attention? Below, we highlight the five key areas where firms must excel — and show how RSMS (Regulatory Surveillance and Management System) by Capital Market Solutions

FINRA CAIS Compliance: Transforming a Regulatory Burden into a Competitive Advantage

The Consolidated Audit Trail (CAT) has significantly transformed trade reporting by providing regulators with a comprehensive view of order and trade activities across U.S. equities and options markets.

FINRA CAT compliance has long posed significant challenges to firms due to its complex requirements for data reporting, validation, and reconciliation.