Capital Market Solutions

Blogs

Stay updated on cutting-edge solutions tailored for financial markets.

The Role of Correct Reporting in FINRA Regulatory Compliance

Have you ever wondered why accurate reporting matters so much for compliance in today’s business world?...

Compliance software dashboard showing trade data and reporting metrics

The financial industry is a complex ecosystem overseen by stringent regulatory requirements. Among these, the FINRA CAT...

Financial professionals reviewing compliance dashboards to reduce FINRA operational risk

The 2025 FINRA Annual Regulatory Oversight Report is a treasure trove of regulatory insights and practical recommendations...

Navigating FINRA Regulatory Inquiries with Ease

As we progress through 2025, the financial services industry continues to be shaped by evolving regulatory expectations...

How RSMS Helps Catch Exceptions Before They Become Problems

Discover the key weaknesses often overlooked in FINRA CAT Written Supervisory Procedures (WSPs) and how Capital Market Solutions’ RSMS platform

The Importance of Data Integrity in CAIS Submissions

The regulatory environment is evolving very fast and now ensuring data integrity is not just a best practice—it has become a crucia...

How CATalyst™ Transforms FINRA CAT Compliance

In today's complex financial landscape, regulatory compliance has become more critical and challenging than ever before...

How RSMS Helps Prevent Financial Penalties

The financial services industry operates in a heavily regulated environment. As the landscape becomes increasingly complex...

Begin 2025 with Confidence and In Control of Regulatory Compliance

As we step into 2025, the world of regulatory compliance continues to grow more complex and demanding...

7 Key Benefits of Automated Data Management for Buy and Sell-Side Firms

Explore 7 key benefits of automated data management for buy and sell-side firms, including accuracy...

Navigating FINRA Mandates with Scalable Compliance Tools

Optimize FINRA compliance with RSMS by Capital Market Solutions. Automate CAT/CAIS reporting, manage exceptions, and ensure real-time monitoring.

How Cloud Solutions Revolutionize Regulatory Compliance in Financial Markets

Explore how cloud solutions by Capital Market Solutions revolutionize regulatory compliance in financial markets.

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Cloud Solutions

How Cloud Solutions Revolutionize Regulatory Compliance in Financial Markets

Explore how cloud solutions by Capital Market Solutions revolutionize regulatory compliance in financial markets. Discover efficient, secure, and agile tools like RSMS for meeting FINRA CAT and CAIS requirements.

  • Smart Reminders
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