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Compliance. Surveillance. Reg Tech
Innovative Compliance Solutions with Unmatched Service
WHAT WE DO
Compliance Solutions
Trusted By Industry Experts!
Capital Market Solutions provides integrated, cloud-based regulatory, compliance, and reporting software solutions for financial firms. Get error-free reports, track and manage exceptions like a pro!
Regulatory Surveillance & Management System
Regulatory Surveillance and Management System (RSMS) is a cloud-based secured regulatory reporting and surveillance solution. It enhances the firm’s supervisory and control policies. With RSMS, firms can stay on top of regulatory requirements including CAT/CAIS reporting to FINRA, identifying and managing exceptions, and insights into the overall health of the firm’s compliance and regulatory adherence.
CAIS
CMS provides an enhanced, cloud-based CAIS module for FINRA Customer and Account reporting that streamlines Customer Account information reporting, and more. It helps Firms with easy integration of CAT Transaction reporting, FDID & Account maintenance, FINRA CAIS reporting and Feedback processing. CMS is the market leader for CAIS reporting with features such as Customer to FDID mapping for transaction reporting, cross validation of transactions with CAIS, data sanitization and normalisation before reporting etc.
CAT
CMS provides an enhanced RSMS analytical module for the new Consolidated Audit Trail (CAT) regulation enacted by the Securities and Exchange Commission. Our CAT module offers two tools.
1] CAT Recon : Sophisticated analytical tool to uncover reporting inconsistencies between internal and CAT-reported records.
2] CATalyst : Proactive Intelligent Surveillance for researching issues related to FINRA inquiries and audits.
3] AuditTool : Product offers built in AuditTool that provides in-depth view of CAT reported records, transaction records and any correction/changes done as part of feedback processing.
CAIS-CONNECT
Navigating the complex FINRA CAIS reporting landscape just got easier with CAIS-CONNECT, the innovative cloud-based solution. Designed to facilitate smooth collaboration between buy-side and sell-side firms, this FINRA-certified platform simplifies the process of managing and submitting client account details.
CAIS-CONNECT is accessible through secure AWS-hosted portal. It empowers users to streamline data sharing and ensure compliance with FINRA regulations. With Capital Market Solutions' proven expertise in regulatory compliance, firms can trust CAIS-CONNECT to be their trusted partner in meeting FINRA CAIS reporting mandates with confidence and efficiency.
Numbers that prove our expertise.
75
%
On-time Submission Track Record
0
%
Rejection Rate
less than
75
%
Support for FINRA enquiries by CMS Experts
What Our Clients Are Saying
About
Capital Market Solutions
About
Capital Market Solutions
About
About
Capital Market Solutions
As financial market complexity grows, complying with regulatory authorities like the SEC and FINRA has never been more difficult. That’s where Capital Market Solutions (CMS) comes in.
CMS is the leader in regulatory, compliance, and reporting solutions for investment banks, broker-dealers, hedge funds, and more. Through our integrated, cloud-based software with multiple modules, we can help you future-proof your firm by complying with CAT and CAIS rules and regulations.
With years of experience, our dedicated RSMS modules for CAT and CAIS are designed to meet the unique needs of financial firms, simplifying reporting, monitoring, and data management like never before.
Our Trusted Partners
Ready to get ahead of
Regulatory Challenges?
Improving regulatory efficiency
and reducing compliance challenges
is our passion. Let’s talk solutions.
and reducing compliance challenges
is our passion. Let’s talk solutions.
Get in Touch!
What’s New
Read financial updates,
& blogs by market experts.
Amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore.
Amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore.