Bridging the CAT Compliance Gap: Why Firms are Turning to RSMS by CMS

EDISON, N.J. - July 4, 2025 - PRLog -- 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. Yet, many broker-dealers underestimate the complexity of CAT WSPs and the operational blind spots that can trigger regulatory scrutiny.

That's where Capital Market Solutions (CMS) steps in — helping firms close their compliance gaps with its purpose-built platform, RSMS (Regulatory Surveillance Management Solution).

The CAT Challenge: A Moving Regulatory Target
The Consolidated Audit Trail (CAT), introduced to enhance market transparency, continues to evolve, with increasing focus on CAIS submissions and supervisory controls. Unfortunately, many firms still treat CAT as a once-a-month task, rather than an ongoing compliance strategy.

Here are just a few common pitfalls:

Outdated or poorly mapped WSPs that don't reflect current CAT/CAIS practices
Inconsistent data capture across systems, leading to misreporting
Lack of real-time visibility into submission errors and corrections
No central repository for supervisory documentation and audit response

https://capmarketsolutions.com/rsms/
RSMS: A Proactive Approach to CAT & CAIS Compliance
CMS's RSMS platform is built to eliminate these challenges. Unlike fragmented spreadsheets and manual reviews, RSMS offers a centralized, automated solution that actively monitors CAT and CAIS submissions, flags anomalies, and aligns your WSPs with current regulatory expectations.

With RSMS, your compliance team gets:

https://capmarketsolutions.com/cat/
Real-time CAT/CAIS error tracking
Dynamic audit logs & WSP integration
Automated updates based on FINRA rule changes
https://capmarketsolutions.com/cais-connect/

Interactive dashboards for reporting and remediation
This kind of system is no longer a luxury — it's essential infrastructure for regulatory readiness.