Capital Market Solutions

Turn CAIS Compliance into a
Competitive Edge with RSMS

A cloud-based RSMS platform to manage & simplify CAIS Processes

Customer Account Information System
(CAIS)

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As the CAIS marks a revolutionary step forward in broker – dealer compliance reporting, the challenges for financial firms have doubled. Capital Market Solutions (CMS) can help you navigate this evolving landscape. Our state-of-the-art solution, the RSMS platform, offers a fully hosted, highly secure cloud – based compliance solution. This robust platform is equipped with a suite of intelligent tools and processes to help firms seamlessly conform to new CAIS regulatory requirements. RSMS empowers firms to efficiently scrub, validate, and synchronize customer account reference data, ensuring precision and up-to-date information.

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Effortless CAIS, Powerful Results

Explore RSMS Features for Seamless Reporting

Effortless CAIS, Powerful Results

Explore RSMS Features for Seamless Reporting

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Reference
Data Management

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RSMS platform for CAIS helps firms to effortlessly manage their customer account reference data, including Firm Designated ID (FDID), with unique automated processes. It offers ongoing synchronization capabilities to ensure that a firm’s account reference data is always up-to-date, enhancing data accuracy and regulatory compliance.

Data
Validation Processes

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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.

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Exceptions Management for
Account Reference Data

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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.

Smart RSMS for Next-Level CAIS Compliance

Scale exponentially with advanced,
tech – driven RSMS by your side.

Cloud-Based Solution

RSMS is a fully hosted,
cloud – based platform. Get access & manage compliance anytime, anywhere.

Automated
Processes

RSMS scrubs and updates FDID data for accurate and current account reference information.

Flexible Integration

Seamless integration with industry standard formats including FIX, XML, CSV, and custom data formats.

User-Friendly Design

Gain control with RSMS’s intuitive design. The user – friendly interface makes navigating regulations a breeze.

Modular Design

Pay-per-usage model, ensuring scalability and adaptability to your needs.
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Case Study

How RSMS Revolutionizes CAIS Compliance

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Read our case studies to discover how financial firms harness the capabilities of our RSMS platform for seamless CAIS compliance.

Compliance Ready?
Take the Reality Check

Manual efforts in CAIS data validation are time - consuming, error - prone, and often inefficient. This can lead to data inaccuracies and missed reporting deadlines, impacting regulatory compliance. This is where you need RSMS for CAIS. It employs advanced proprietary algorithms for pre - submission validation, identifying exceptions automatically, thus eliminating the need for manual processes and significantly enhancing data accuracy and efficiency.

Without a clear plan, firms may struggle to meet stringent CAIS requirements, leading to compliance risks and potential penalties from regulatory bodies. A comprehensive, structured approach is needed to align with all CAIS requirements seamlessly. RSMS by Capital Market Solutions offers a fully hosted, cloud - based Compliance Platform with intelligent tools designed to assist firms in meeting all CAIS requirements, providing clarity, structure, and ongoing support.
An unreliable compliance approach can result in data errors, missed deadlines, and regulatory scrutiny, impacting a firm's reputation and operational efficiency. Choose RSMS to enhance compliance reliability. with RSMS' in - depth validation techniques and proprietary processes, you can be sure that data is always accurate and submissions are timely.

Lack of integration between CAT and CAIS compliance systems can lead to disjointed processes, increased complexities, and inefficiencies in managing regulatory requirements. An integrated system that combines CAT and CAIS compliance to provide a holistic view and streamline processes is essential. RSMS by Capital Market Solutions directly integrates with CAT and CAIS, offering a complete and seamless integration for efficient regulatory management.

Inefficient identification and resolution of exceptions in CAIS submissions can delay reporting and affect overall data quality. Our RSMS provides comprehensive exception management capabilities, streamlining the correction process, and facilitating quick and accurate resolution of data exceptions.