We’re all operating in a market where regulations evolve quickly, trading activity is complex, and teams are stretched thin. It’s not just the rules, it’s the data, the reconciliations, the follow-ups, and the constant pressure to prove control effectiveness. We’ve heard the same refrain from compliance leaders: too many tools, too many manual checks, and not enough time to actually manage risk.
That’s why we at Capital Market Solutions built RSMS, a cloud-based Regulatory Surveillance and Management System that unifies surveillance, validation, and reporting, so you can streamline oversight, reduce operational friction, and build confidence with regulators and stakeholders.
The RSMS Advantage: Unified, Cloud-Based, and Smart
RSMS brings together what typically lives in silos:
- Integrated surveillance across key regulations and reporting regimes
- Validation of regulatory submissions, especially CAT and CAIS
- Built-in reporting workflows and exception management
At its core, RSMS helps firms comply with CAT and CAIS by surfacing issues early, validating submissions before they’re filed, and giving teams actionable insight rather than noise. Our secure cloud deployment means faster rollout, easier scaling, and less infrastructure upkeep. With flexible data integration options, RSMS fits your environment—not the other way around—so you can onboard quickly and adapt as your business changes.
Comprehensive Surveillance: Smarter Oversight, Fewer Gaps
Surveillance needs to be continuous, consistent, and comprehensive. It supports CAT and CAIS file validation to help ensure clean submissions to FINRA. Trading transaction Data flows seamlessly via multiple formats, such as FIX and CSV, and cloud connectivity simplifies secure integration and uploads.
Just as important, RSMS cross-validates regulatory reports against your trading data, promoting consistency and reliability throughout the compliance lifecycle. That means fewer blind spots and stronger control evidence when you need it.
Risk Management, Exception Handling, and Audit Readiness
Managing regulatory risk is about seeing around corners. RSMS helps identify anomalies and flag exceptions early, then guides users through investigation and resolution. You can drill into the details behind each exception with supporting data, so your analysts spend time where it counts.
Our interactive dashboard provides a 360° view of firm’s compliance health with:
- Historical performance and exception trends
- Heat maps of risk concentration
- Work-in-progress and time-to-close metrics
All exceptions are tracked in a single, integrated repository to support audit readiness and transparency. This structure makes it easier to demonstrate governance, show consistent application of policies, and respond confidently to regulatory inquiries. The result: stronger oversight, reduced compliance risk, and better day-to-day efficiency.
Data Validation and Regulatory Accuracy
Accuracy in regulatory reporting is non-negotiable. RSMS validates incoming data, submissions, especially CAT, identifies any exceptions before submissions. By aligning what you report with what actually happened, maintaining very low rejection rates, and industry best error rates in report cards!.
We designed these controls to be practical as well as rigorous. You get reconciliation views, exception workflows, and evidence trails that are easy to follow. Every submission reflects true, traceable data, giving your compliance team, your leadership, and your regulators confidence in the process and the outcome.
Why RSMS Is the Future of Reg Reporting and Compliance
Compliance is becoming deeply data-driven, and platforms must be flexible, scalable, and updatable. RSMS is built for this new reality. As your firm grows and rules evolve, RSMS scales with you and continuously adapts to changing regulatory requirements.
RSMS also reduce the day-to-day pressures on compliance teams. Staying ahead of the curve while delivering best in class operation. It is designed to reduce the burden: instead of spending hours reconciling CAT data manually, you can validate submissions with one click, focus on the exceptions that matter, and close investigations faster.
For instance:
Before RSMS: A compliance analyst spends half a day reconciling order events and fixing rejected CAT records, a repetitive, time-consuming process prone to manual errors.
With RSMS: The analyst reviews dashboard, instantly sees exceptions highlighted with clear correction actions, reviews the supporting data, and resolves exceptions directly within the application, freeing up hours for deeper supervisory reviews. Knowledgeable support team guide analysts in streamlining WSPs.
That transformation, from chasing down data to leading with insight, fundamentally changes how your compliance team operates.
RSMS Implementation Is Simple
At Capital Market Solutions, we’ve prioritized a smooth path to production. RSMS integrates with your existing ecosystem via flexible connectors and supports common data formats like FIX and CSV. Our secure cloud architecture reduces maintenance overhead while giving you the scalability you need during peak volumes. We typically onboard customers in weeks and from there, knowledgeable support staff guide compliance teams to establish processes that match your supervisory model and WSPs.
The goal is to accelerate time-to-value, so your team gets clarity and control quickly.
Upgrade to The Unified RegTech Solution
RSMS is more than a toolkit; it’s a trusted partner for maintaining regulatory confidence with elevated experience. In one secure platform, you get integrated surveillance, exception management, regulatory validation, risk transparency, and more. You reduce operational complexity, improve accuracy, and strengthen governance without adding headcount.
At Capital Market Solutions, we believe smarter compliance isn’t just about meeting rules; it’s about building trust, transparency, and resilience across the regulatory ecosystem.
Ready to see RSMS in action?
Let’s walk you through RSMS, so you can validate CAT/CAIS with a click, surface exceptions faster, and give your team the clarity they deserve. Connect with us today to schedule your demo and discover how RSMS can simplify oversight and elevate your compliance program.