Achieving Unmatched Compliance in Regulatory Data Reconciliation

BABYLON, N.Y. - Oct. 6, 2025 - PRLog -- For trading firms facing intensifying oversight and evolving regulatory requirements, the challenge of managing FINRA CAT and FINRA CAIS compliance has never been greater. Success depends on not only meeting minimum standards, but actively ensuring the integrity, transparency, and timeliness of every trade and account record. Modern platforms like the Regulatory Surveillance and Management System (RSMS) are redefining how firms approach the complexities of data reconciliation and reporting.

Navigating the Complexity of Consolidated Audit Trail (CAT) and CAIS Reporting
The FINRA CAT and Customer Account Information System (CAIS) require meticulous reporting of order events, modifications, allocations, and customer details. Daily, firms must aggregate vast amounts of data across internal systems and formats, increasing the risk of record mismatches and submission errors. Reconciling issues such as missing order events, timestamp discrepancies, and incomplete CAIS customer data can quickly escalate to regulatory penalties or reputational harm if not caught early.

The RSMS Advantage: Intelligent Surveillance and Comparative Review
A next-generation Regulatory Surveillance and Management System (RSMS) brings together advanced surveillance, automated reconciliation, and drill-down insights for both CAT and CAIS submissions. Unlike manual checks or siloed legacy systems, RSMS centralizes compliance activities for the entire organization, creating an integrated workflow for pre-validation, error detection, and regulatory submission. RSMS streamlines the process by:

Conducting automated, intelligence-driven comparative reviews between trade records and reported CAT/CAIS data.
Providing seamless data management and real-time dashboards for exception handling and performance tracking across multiple regulatory obligations.
Empowering compliance teams to proactively identify and remediate inconsistencies such as FDID mismatches, account holder type errors, or event sequencing anomalies.
Integrating CAIS-Connect workflows to ensure all customer and account information is accurately captured, validated, and submitted for regulatory review.
Key Features for Efficient CAT and CAIS Compliance
RSMS with CAIS-Connect excels through a suite of tailored features:

https://capmarketsolutions.com/cais-connect/

Comparative Reviews: Rigorous, field-by-field validation of trade orders and customer account attributes, instantly highlighting anomalies between firm records and submitted CAT/CAIS events.
Daily Oversight and Alerts: Proactive monitoring of low error rates and edge-case exceptions, even when daily submissions appear clear, maintaining regulatory readiness throughout the audit cycle.
https://capmarketsolutions.com/cat/

Exception Categorization: Granular classification of common compliance risks — timestamp deviations, incomplete customer details, or reporting flags — that may trigger greater scrutiny from FINRA CAT or CAIS audits.
Integrated Reporting Tools: Interactive, cloud-based dashboards with powerful drill-down capabilities, supporting detailed investigations and audit preparation at every compliance stage.