Capital Market Solutions

Experience Flawless CAT Reporting
with a unified RSMS Platform

The all-in-one, cloud-based CAT Compliance Platform

Consolidated Audit Trail
(CAT) Compliance

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With the CAT and CAIS becoming the foundation for regulatory inquiries and surveillance, firms face increased regulatory risks due to potential inconsistencies with other reporting obligations or inadequate surveillance.

RSMS, our unique cloud – based platform enables firms to validate their CAT submissions, providing visibility into exceptions and a robust correction mechanism. Our Case Management layer also offers cradle-to-grave documentation, ensuring comprehensive audit trails and streamlining the reporting process.

Trust RSMS to navigate the complexities of CAT reporting, mitigate regulatory risks, and easily ensure compliance.

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Flexible CAT Modules for 
Diverse Compliance Needs

Flexible CAT Modules for 
Diverse Compliance Needs

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CAT - Recon

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CAT – Recon harnesses intelligent tools and data mining to reconcile CAT events with transactions from source systems like OMS/EMS. This sophisticated module ensures accurate, consistent reporting, mitigating risks and bolstering compliance. Embrace CAT – Recon for seamless CAT adherence and unwavering regulatory confidence.

Why Choose CAT - Recon

CATalyst

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CATalyst™ is a highly sophisticated analytics tool that empowers financial firms to research issues related to FINRA inquiries and audits proactively. This unique RSMS module for CAT carefully extracts data elements from submitted CAT ROEs across all data sources and asset classes. The extracted data enables end – users to perform their own internal review and surveillance processes ahead of any FINRA inquiries or audits.

Key Features

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Smart RSMS to Streamline Your
CAT Compliance

Leave compliance worries behind with Tech-driven RSMS.

Cloud-Based Solution

RSMS for CAT is a cloud-based,
fully – hosted platform. Take control of compliance anytime, anywhere.

Intelligent
Tools

RSMS uses intelligent tools and data mining  techniques to ensure CAT compliance.

Intelligent Tools

RSMS uses intelligent tools and data mining  techniques to ensure CAT compliance.

User-Friendly Modules

Our RSMS CAT Modules have an intuitive design and functions as per compliance needs.

User-Friendly Modules

Our RSMS CAT Modules have an intuitive design and functions as per compliance needs.

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Case Study

How RSMS Empowers CAT Compliance

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Read our case studies to discover how leading financial firms achieve seamless CAT Compliance with our RSMS platform.

CAT Compliance Ready? 
Take the Reality Check

CAT data includes sensitive trading information and is vulnerable to security breaches and unauthorized access, especially with the rise of cyber threats. At Capital Market Solutions, our RSMS platform employs security measures that adhere to industry standards, ensuring the data security throughout its lifecycle.

Let’s face it - manual data entry for CAT reporting is susceptible to human errors, resulting in inaccurate and delayed submissions. It's time to transition to a robust cloud-based RSMS platform for CAT. Our platform automates the entire reporting process, reducing the risk of errors and ensuring accurate and timely submissions. By automating CAT reporting, RSMS frees up valuable resources, allowing your team to focus on strategic initiatives, thereby improving efficiency and compliance.

Keeping up with regulatory changes and updates to CAT reporting requirements is crucial for maintaining compliance. The RSMS platform for CAT allows you to continuously monitor for updates from relevant authorities. The platform seamlessly incorporates new requirements, ensuring your firm remains compliant without any operational disruptions.

Regular internal audits simplify the assessment and effectiveness of CAT reporting processes, helping to identify potential compliance issues. Having a robust RSMS platform is essential. It facilitates scheduled internal audits through comprehensive reporting and audit trail capabilities, providing detailed insights into reporting activities, data integrity, and areas for improvement.

Inefficient data export capabilities can be time-consuming and impede analysis and response to the regulatory inquiries. We highly recommend choosing RSMS for CAT to unlock flexible data export capabilities. Our platform supports multiple export formats, enabling deeper analysis, reporting, and decision-making. Embrace informed decisions and operational excellence with RSMS by Capital Market Solutions..