Enhance Your Firm's Compliance
and Surveillance Capabilities
A cloud-based platform for seamless regulatory reporting and case management.
Regulatory Surveillance
and Management System (RSMS)
RSMS is a cloud-based platform that offers integrated surveillance, validation, reporting and case management capabilities. At the core, RSMS software conducts automated surveillance across multiple regulatory requirements to identify any exceptions or suspicious trading patterns in a firm’s order and execution data. RSMS also validates regulatory filings like OATS submissions against source data to ensure accuracy before official reporting. With flexible data integration options and secure cloud infrastructure, RSMS delivers an optimized, unified solution to streamline exception handling and empower firms with actionable regulatory insights.
Stay Ahead of Regulatory Changes with RSMS
Catch exceptions early and ensure regulatory compliance with confidence.
Stay Ahead of Regulatory Changes with RSMS
Catch exceptions early and ensure regulatory compliance with confidence.
Comprehensive Surveillance
RSMS uses sophisticated surveillance methodologies to evaluate trading behaviour and identify potential issues. It actively monitors for established guidelines such as Regulations SHO, NMS, Best Execution, Market Abuse, and Sub-Penny. RSMS also provides FORE file validation for virtually error-free OATS submission to FINRA.
- Seamless integration using various data formats like FIX, and CSV.
- Flexible cloud connectivity to access and upload data.
- Cross-validate reports against trading data.
Exception
Management
RSMS rapidly identifies potential compliance issues and generates exception reports. The interactive dashboard makes exception management easy with a view of historical performance and a comprehensive view of the firm’s overall health profile. Firms can efficiently monitor, investigate and resolve exceptions.
- Validates regulatory reports and trading data for exceptions
- One integrated repository for tracking regulatory exceptions.
- Individual exception review with supporting data for analysis.
Powerful Analytics Capabilities
RSMS facilitates firms with investigative tools. Its market and trading overviews provide a rich understanding at a glance. Powerful drill-down capabilities allow a thorough analysis of individual exceptions and related market activity. Compliance teams can efficiently identify patterns and root causes with interactive access to reference data views alongside detected issues.
- Powerful analytics tools at your fingertips- market view and trading view.
- Eliminate spreadsheets and emails for tracking regulatory exceptions.
- Capture analysis with reviewers' comments for case documentation and audit trail.
Experience the
RSMS Advantage
Focus on your business, not burdensome compliance! Say yes to effortless accessibility and scalability with our RSMS platform.
Case Study
How RSMS Transforms Compliance in Action
Read our case studies to know how real-world financial firms leverage the power of our RSMS platform to achieve compliance excellence.
Compliance Ready?
Take the Reality Check
Let’s get over it-manually reviewing huge volumes of trading data for exceptions is time-consuming and error-prone. Firms need automated solutions to monitor complex regulatory rules in real-time efficiently. This is where you need a robust RSMS platform by your side. It leverages advanced technology to streamline surveillance and exception management, enabling compliance teams to focus on value-added tasks.
Interested? Choose CMS to implement RSMS for your financial firm.
Lacking a consolidated view of exceptions makes it difficult to proactively address emerging risks. Compliance programs require integrated platforms like RSMS to provide contextual oversight insights. RSMS continuously monitors activity across systems and centrally presents interactive dashboards with historical trend analysis for complete transparency.
Firms that wait for regulators to find issues risk damaged reputations and hefty fines. Firms must monitor compliance from the source to REG reporting. Waiting for issues to happen and then fixing them is too late. RSMS watches trading all the time to catch exceptions early. It reports these quickly so you can deal with them before causing big trouble. Fixing exceptions early keeps regulators confident in how you operate and prevents penalties. RSMS helps ensure compliance is part of how your firm works proactive, not reactive.
FINRA reporting is complex! You can never be 100% sure of submissions without a robust RSMS solution. Choose RSMS to validate filings through systematic cross-referencing for assurance, boosting trust in regulatory communications.
Dealing with regulatory compliance can be taxing. Coming under the radar of regulators like FINRA means your entire compliance program is critically reviewed, with potential penalties or even disciplinary actions if issues are found. To avoid these severe risks, firms need proactive solutions that can comprehensively demonstrate robust oversight anytime regulators come knocking at your door. Our RSMS platform centralizes and structures exception data, with powerful tracking of activities. Ultimately, RSMS strengthens your defenses against regulatory actions like never before!