Simplifying Compliance: How CAIS, CAT, and CAIS-Connect Are Reshaping Regulatory Strategy for Broker

EDISON, N.J. - Aug. 6, 2025 - PRLog -- In today's increasingly data-driven regulatory environment, FINRA CAT compliance isn't just a priority — it's a necessity. With the Customer Account Information System (CAIS) now integrated into the broader Consolidated Audit Trail (CAT) reporting framework, firms are under pressure to develop robust, auditable systems that ensure accuracy, timeliness, and transparency in every submission.

Understanding the CAIS & CAT Relationship
The CAIS initiative, managed by FINRA CAT, focuses on collecting and validating sensitive customer and account data to complement CAT transaction reports. The relationship between CAIS and CAT is essential: while CAT captures trade data across U.S. equities and options markets, CAIS ensures the associated account and identity information is properly linked.

For small to mid-sized broker-dealers, reconciling these systems — and meeting the required Written Supervisory Procedures (WSPs) — has become increasingly complex. Missteps in formatting, missing LTIDs, or timing discrepancies can lead to rejections, warnings, or regulatory scrutiny.

https://capmarketsolutions.com/navigating-cat-wsps-what-f...

The Rise of CAIS-Connect: A Targeted Solution for Modern Firms
Enter CAIS-Connect, a solution developed to reduce friction in compliance operations. Offered by Capital Market Solutions, CAIS-Connect integrates seamlessly into firms' existing compliance architecture and enables:

Automated CAIS submissions with error handling
Pre-submission validation checks
Rejection resolution workflows

https://capmarketsolutions.com/cais/
WSP documentation support
With CAIS Phase 2e (for industry and account record corrections) already enforced, firms that delay systematizing their CAIS processes risk falling behind.