Cap Market Solutions

Capital Market Solutions (CMS) provides integrated, cloud-based regulatory, compliance, surveillance, and reporting solutions for financial firms, including broker-dealers, investment banks, and other market participants.

CMS's Regulatory Surveillance and Management System (RSMS) is a cloud-based platform designed to help firms manage regulatory reporting, data validation, surveillance, exception management, and compliance workflows through a centralized environment.

RSMS supports regulatory requirements across areas including FINRA CAT and CAIS reporting, SEC Rule 606 reporting, and SEC Rule 17a-4 compliance storage through RSMS Vault. The platform provides tools for data ingestion, validation, reconciliation, reporting, surveillance, and audit readiness.

For CAT compliance, RSMS provides capabilities for validating regulatory submissions, identifying reporting exceptions, reconciling CAT data with source records, and researching regulatory inquiries and audits. Its CAT modules help firms improve visibility into reporting issues and manage exceptions through a structured workflow.

CMS also provides CAIS reporting capabilities designed to help firms manage customer and account information, integrate relevant CAT data, process feedback, and maintain consistent regulatory reporting workflows.

For SEC Rule 606 reporting, RSMS supports data ingestion, processing, validation, and report generation. The platform provides CAT and 606 consistency checks and supports 606 reports in PDF and XML formats, helping broker-dealers manage order-routing reporting through a centralized cloud-based environment.

RSMS Vault provides cloud-hosted compliance storage designed for broker-dealers managing SEC Rule 17a-4 retention requirements. The solution combines secure record retention with visibility and oversight capabilities to support compliance teams.

Capital Market Solutions combines regulatory technology, compliance expertise, and cloud-based solutions to help financial firms manage evolving regulatory requirements, improve data quality, and strengthen their reporting and compliance processes.