Capital Market Solutions

As regulatory frameworks become more data-driven and technology-dependent, the importance of data integrity in financial compliance has never been greater.

When it comes to staying compliant in today's complex regulatory landscape, one of the most critical checkpoints for broker-dealers is the FINRA Audit Examination.

In the complex world of capital markets, regulatory compliance is critical — and one of the most transformative initiatives in this space is the FINRA CAT, or Consolidated Audit Trail.

In the ever-evolving world of financial markets, regulatory compliance has grown increasingly complex.

In the evolving landscape of regulatory compliance, FINRA CAT (Consolidated Audit Trail) reporting remains a high-stakes challenge for broker-dealers.

In today's fast-paced regulatory environment, staying ahead of FINRA CAT and CAIS obligations isn't just good governance — it's a business imperative.

In today's fast-evolving financial landscape, compliance is no longer just a regulatory checkbox — it's a critical pillar of trust and transparency. One of the most significant regulatory developments in the U.S.

In today's fast-evolving regulatory landscape, broker-dealers are under increasing pressure to ensure accuracy and transparency in their trade and account reporting.

In today's high-stakes regulatory environment, timing is everything.

1. What is RSMS? RSMS (Regulatory Surveillance & Monitoring System) is a cloud‑based platform from Capital Market Solutions (CMS) designed to detect regulatory infringements such as market manipulation and compliance breaches, across multiple asset...