From Data to Decisions: Strengthening Compliance with RSMS, CAIS, CAIS-Connect, FINRA CAT & Catalyst

EAST QUOGUE, N.Y. - Aug. 26, 2025 - PRLog -- In the fast-paced financial services industry, staying ahead of regulatory requirements isn't optional — it's essential. Firms must navigate complex systems like the Regulatory Surveillance and Management System (RSMS), Customer Account Information System (CAIS), CAIS-Connect, and FINRA's Consolidated Audit Trail (CAT). Tools like CATalyst™ empower firms to go beyond mere compliance — transforming data into strategic insights and proactive action.

Regulatory Surveillance and Management System (RSMS)
The Regulatory Surveillance and Management System (RSMS) is a cloud-based, fully secure solution designed to supervise regulatory compliance seamlessly. It enhances supervisory controls and streamlines reporting requirements — especially related to CAT and CAIS. With automated alerts, exception tracking, and data monitoring capabilities, RSMS equips firms to stay audit-ready and reduce regulatory risk.

Customer Account Information System (CAIS)
CAIS (Customer Account Information System) plays a pivotal role in broker-dealer compliance — requiring submission of customer and account data to FINRA's Central Repository. These submissions must be accurate, secure, and timely. Robust oversight includes validating data transformations (like hashed IDs) and repairing inconsistencies within tight windows — often by the third CAT Trading Day following data availability.

https://capmarketsolutions.com/rsms/

CAIS-Connect
CAIS-Connect is an innovative, secure, AWS-hosted platform that simplifies FINRA CAIS reporting. It enables seamless collaboration between buy-side and sell-side firms, ensuring secure and streamlined submission of client account information. This solution makes complex CAIS mandates more manageable and efficient

https://capmarketsolutions.com/cais/