For broker-dealer compliance teams, meeting SEC 17a-4 requirements is only half the battle. The rule extends far beyond basic record retention—it mandates WORM (Write Once, Read Many) storage, robust supervisory controls, and even support for special provisions, such as HOLD.This raises a critical challenge: how can compliance teams ensure their systems are not only airtight and auditable, but also efficient and sustainable—without getting bogged down by manual oversight and fragmented processes?
In today’s fast-paced and highly regulated environment, the answer lies in adopting smarter, more modern solutions that go beyond traditional record-keeping. Because let’s face it—when regulatory scrutiny is this high, compliance isn’t optional; it’s the foundation of trust and success.
The Challenge
Despite the critical nature of these regulations, firms have, until now, been constrained by legacy solutions designed decades ago. Traditional WORM-compliant storage products, whether developed in-house or sourced from established vendors, tend to focus exclusively on locking data away. These storage locking technologies, while satisfying the minimum requirement of being unchangeable, have not kept pace with the increasing demands of today’s compliance environment.
What does this mean for compliance teams?
- No oversight or Heavy Reliance on Manual Oversight: Existing solutions lack integrated tools, leaving staff to manage exception tracking, reconciliation, and incident reporting by hand, an inefficient and error-prone process.
- Limited Monitoring and Incident Tracking: Outdated platforms offer no robust monitoring or automated alerts, making early issue identification near impossible.
- Minimal Integration and Lack of Supervisory Controls: As key parts of the compliance process fall outside the storage solution, institutions are forced to cobble together workflows and controls, increasing overhead and introducing risk.
- Inadequate Data Governance: With poor visibility and difficult access to records, compliance teams remain exposed during audits or regulatory reviews.
These gaps don’t just create operational headaches; they expose firms to regulatory oversight, reputational damage, and rising compliance costs.
Introducing RSMS Vault
At Capital Market Solutions, we’re not just responding to compliance challenges; we’re transforming the very foundation of how broker-dealer firms approach SEC 17a-4 record retention. The landscape has shifted, and legacy storage systems, built for a different era, are now the weakest link in the chain of regulatory trust. That’s why we’re proud to unveil RSMS Vault, our visionary, cloud-native platform designed for the future of compliance.
RSMS Vault is so much more than a digital repository; it’s a holistic command center that propels compliance into a new era. Engineered from the ground up to be secure, scalable, and future-ready, RSMS Vault is purpose-built to deliver not just robust WORM-compliant storage, but comprehensive automation, integrated oversight, and control that legacy solutions simply can’t match.
In an industry where regulations evolve and risks loom large, we give compliance officers, executives, and operations leaders a powerful platform that unites data governance, seamless integration, and easy entitlement-based access into a single, intuitive experience.
With RSMS Vault, your firm commands the confidence to meet every SEC 17a-4 challenge with clarity, agility, and total peace of mind. This is SEC compliance, reimagined for the demands of tomorrow, built on the vision, expertise, and relentless innovation that define Capital Market Solutions.
Why Launch the RSMS Vault Now?
The urgency to modernize is clear: regulatory expectations are rising, workflows are getting more complex, and the costs of non-compliance are escalating. Also, the need for seamless cloud access and powerful supervisory tools has never been greater. CMS has strategically responded with RSMS Vault—a solution that closes the compliance gap and puts the power back in the hands of compliance teams.
RSMS Vault isn’t a mere upgrade; it’s a reinvention. It empowers broker-dealer firms with complete oversight, integrated automation, and on-time confidence, supported by purpose-built dashboards and a transparent user experience. This is the new gold standard for SEC 17a-4 compliance—a solution born of market need, engineered for tomorrow’s challenges, and delivered at the exact moment forward-thinking firms demand it most.
Key Features of RSMS Vault
RSMS Vault is packed with features that set a new standard for secure, auditable, and manageable data retention:
- Fully Secured, Modern Data Storage Technology: Next-level cloud infrastructure with advanced security and resiliency.
- WORM-Compliant Storage: Immutable, write-once-read-many architecture ensures ironclad adherence to SEC retention mandates.
- Encrypted Data at Rest: All sensitive information remains protected, always.
- User-Controlled Retention: Flexible retention schedules and HOLD support to accommodate changing regulatory requirements.
- Supervisory Controls: Easy monitoring of all incoming data streams
- Data Governance & Self-Audit: Comprehensive oversight tools help you govern, review, and audit your data—no more scrambling come exam time.
- Easy, Entitlement-Based Access: Role-based permissions for search, view, and export make access management seamless and secure.
- Seamless Third-Party Integration: Out-of-the-box compatibility accelerates connections with existing business systems and compliance platforms.
Why Capital Market Solutions’ RSMS Vault?
When it comes to regulatory technology, trust demands a proven track record—Capital Market Solutions (CMS) has built exactly that. RSMS Vault is the latest milestone in a legacy defined by innovation, regulatory expertise, and client success. Our flagship solution RSMS with modules – RSMS CAT and RSMS CAIS, and more have already set industry benchmarks for accuracy, ease of use and seamless regulatory reporting across the firms. These solutions have earned the confidence of leading innovation by delivering real-world results: streamlined processes, reduced risks, and unmatched reliability.
With RSMS Vault, CMS is raising the bar again. Built on decades of compliance domain experience, we understand what’s at stake, so we deliver solutions that work, scale, and evolve alongside regulatory demands. When CMS stands behind your compliance framework, you’re not only ready for SEC 17a-4—you’re prepared for the future.
Meet SEC 17a-4 Seamlessly with RSMS Vault
RSMS Vault is not just about meeting SEC Rule 17a-4; it’s about transforming compliance from a regulatory burden into a business advantage. By integrating comprehensive retention, powerful automation, and robust oversight into a single cloud platform, we’re empowering compliance officers and executives to take control of their firm’s regulatory destiny. The result: less time spent on manual processes, more clarity and confidence during audits, and greater assurance that your institution remains fully compliant—now and in the future.
At Capital Market Solutions, we believe that true compliance goes beyond storage—it’s about command, visibility, and proactive management. RSMS Vault is your complete partner in that journey.
Interested to learn more about how RSMS Vault can future-proof your compliance strategy? Connect with our regtech experts today.