Experience Next-Gen SEC 17a-4
Compliance Storage with RSMS Vault
A cloud-based solution for Broker-Dealers simplifying SEC 17a-4 retention
What is RSMS Vault?
Empowering Compliance. Simplifying Oversight.
RSMS Vault is a state-of-the-art, cloud-hosted compliance storage system designed for today’s broker-dealers. Meeting SEC Rule 17a-4 requirements, RSMS Vault does more than just keep records; it provides a comprehensive framework for organizing, retaining, and overseeing every securities transaction and business record. Tired of legacy systems that only lock files away? RSMS Vault by Capital Market Solutions combines modern data security and surveillance capabilities with intuitive dashboards, empowering your compliance team to focus on what matters—reducing risk, ensuring retention, and keeping oversight simple. This platform replaces manual processes and patchwork oversight with a single, streamlined SaaS solution that adapts to your evolving regulatory needs.
Flexible CAT Modules for
Diverse Compliance Needs
Transform Record Retention Into
Strategic SEC Compliance Oversight
Advanced WORM Compliance
RSMS Vault empowers your compliance team with streamlined dashboards, intuitive controls, and data governance—all designed to eliminate complexity from daily compliance management. Manage SEC 17a-4 compliance confidently while staying ahead of regulatory requirements, without the burden of manual oversight.
- WORM-compliant storage and flexible retention controls.
- Built-in automated incident tracking, reporting, and case management.
- Generate actionable reports to track, reconcile, and analyze compliance data.
Fully Secured Modern Data Storage
RSMS Vault is built for today’s compliance needs, with security, accessibility, and ease of use at its core. Protect sensitive records, streamline oversight, and meet regulatory requirements through industry-leading data management practices.
- Encrypted data at rest ensures your data stays protected.
- User-controlled retention to determine how long records are preserved.
- Effortless structure and intuitive access simplify record management, search, and export.
Future-Proof SEC 17a-4 Compliance Storage
Gain transparency, oversight, and security with RSMS Vault