Proactive Compliance with RSMS: Catching Issues Before They Escalate

EDISON, N.J. - Aug. 11, 2025 - PRLog -- In today's fast-paced financial markets, compliance is more than a regulatory checkbox — it's a critical part of maintaining trust, efficiency, and operational stability. Tools like the Regulatory Surveillance and Management System (RSMS) are transforming the way broker-dealers handle compliance by catching exceptions before they turn into costly problems.

Why RSMS Matters for Compliance Teams
An RSMS acts as an early warning system, identifying data breaks, reporting errors, and submission gaps that could trigger FINRA inquiries. This proactive approach is essential for meeting Consolidated Audit Trail (CAT) Compliance requirements and keeping FINRA CAT error rates low.

With real-time monitoring, automated alerts, and intuitive dashboards, RSMS allows compliance teams to address potential issues before they reach the regulatory stage. This saves time, reduces penalties, and preserves firm reputation.

The Role of CAIS and CAIS-Connect
The Customer Account Information System (CAIS) requires accurate and timely account data submissions. Even small errors can lead to compliance headaches. RSMS, paired with CAIS-Connect, ensures that CAIS reporting is accurate, streamlined, and aligned with FINRA CAIS standards.

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CAIS-Connect bridges operational workflows with compliance obligations, enabling firms to fix errors before they impact regulatory reporting.