Capital Market Solutions

Book a Demo
Book a Demo

Empowering Buy Side and Sell Side Firms with
CAIS Compliance

A seamless, cloud-based platform for secure and streamlined CAIS reporting
Book a Demo

Meet CAIS Mandates Effortlessly

CAIS-CONNECT is an innovative cloud-based software solution from Capital Market Solutions, designed to facilitate smooth collaboration between buy side and sell side firms while adhering to FINRA CAIS reporting mandates. CMS has attained full CAIS production certification from FINRA, solidifying our expertise in regulatory compliance.


With CAIS-CONNECT, users can efficiently manage and submit client account details through Bloomberg’s App Store or an AWS-hosted secure portal. This solution simplifies the process for buy side firms to share data with sell side firms, ensuring compliance with FINRA regulations seamlessly.

Connecting the Dots in CAIS Reporting

Unifying buy side and sell side for regulatory excellence

Connecting the Dots in CAIS Reporting

Unifying buy side and sell side for regulatory excellence

Efficient CAIS Compliance

CAIS-CONNECT provides robust data management through an industry-strength API and UI designed for bulk entry and maintenance of client data. It hosts a central repository, consolidating all CAIS details from buy side firms in one place. This setup ensures streamlined data dissemination, allowing sell side firms to efficiently distribute client CAIS details. Enhanced data security is guaranteed with encrypted protection via the Bloomberg App Store, ensuring compliance and safety.

Benefits for Buy Side

  • Centralized Data Submission : Provide initial data and subsequent updates to CAIS-CONNECT just once to reach a broad network of industry members.
  • Selective Data Sharing : Share data with specific industry members or all.
  • Automated Updates : Streamline the sharing of account information automatically with industry members.
  • Single Point of Contact : CAIS-CONNECT reduces the hassle of dealing with multiple sell side firms.

Benefits for Sell Side

  • Operational Risk Reduction : CAIS-CONNECT securely stores and maintains client accounts.
  • Efficient Data Management : Utilize industry-strength API and UI for bulk entry and maintenance of client data.
  • Accessible Up-to-Date Data : Receive automated updates from all connected buy side firms.

Data
Validation Processes

Our RSMS platform offers advanced pre-submission validation techniques using proprietary algorithms to identify exceptions and ensure compliance with CAIS and other regulatory reporting rules. This comprehensive approach ensures data accuracy, reliability, and alignment with regulatory requirements, minimizing errors and enhancing overall data quality before submission.

Exceptions Management for
Account Reference Data

RSMS offers user-friendly, comprehensive dashboards integrated with CAT and CAIS to provide a complete view of submission issues. It streamlines data correction and synchronization across systems, normalizes communication within the firm, and delivers accurate management reporting for regulatory oversight and examination preparedness.

Handle the Buy Side and Sell Side Easily

Say goodbye to the CAIS mandate hassle with CAIS-CONNECT. Streamline data management for buy and sell side firms.

Cloud-Based Solution

CAIS-CONNECT is a cloud-based, fully-hosted platform. Meet the CAIS mandate anytime, anywhere.

Intelligent
Tools

It uses intelligent tools and data management techniques to ensure CAIS compliance.

Intelligent
Tools

It uses intelligent tools and data management techniques to ensure CAIS compliance.

User-Friendly Design

CAIS-CONNECT has an intuitive design and functions for the buy side and sell side.

User-Friendly Design

CAIS-CONNECT has an intuitive design and functions for the buy side and sell side.

Case Study

How CAIS-CONNECT Helps Meet CAIS Mandate

Read our case studies to know how real-world financial firms leverage the power of our CAIS-CONNECT platform to achieve CAIS excellence.

View All

CAIS Compliance Ready?
Take the Reality Check

Keeping track of numerous CAIS submissions can be overwhelming and error-prone. CAIS-CONNECT centralizes data management, allowing you to submit data once and automatically update all connected sell side firms, simplifying the entire process.
Dealing with multiple sell side firms can be cumbersome. CAIS-CONNECT streamlines your reporting by acting as a single point of contact, eliminating the need to coordinate with various parties and thereby improving efficiency. Interested? Learn more.
Managing large volumes of data can be challenging. The industry-strength API and UI of CAIS-CONNECT facilitate efficient bulk entry and maintenance, ensuring that your data management is both scalable and effective. Feel free to get in touch and learn more.
Efficient data dissemination is key to compliance. CAIS-CONNECT centralizes CAIS data from buy side firms and streamlines the process of distributing this data, making compliance both easy and reliable. Adopting CAIS-CONNECT can transform your CAIS reporting by providing a secure, centralized, and automated solution that enhances compliance efficiency and accuracy. Book a demo today to experience the difference!
Data security is essential for compliance and client trust. CAIS-CONNECT uses encrypted data security, hosted on the Bloomberg App Store, ensuring that all client data is managed securely and with the highest standards. Book a demo today to learn more.