Capital Market Solutions LLC Employee Directory
Financial ServicesUnited States2-10 Employees
Capital Market Solutions (CMS), headquartered in New York, USA, is the leading provider of cloud-based regulatory compliance and surveillance solutions built for Broker Dealers, Investment Banks, Exchanges, OMS/EMS providers and ALGO providers. We empower broker-dealers, investment banks, and hedge funds to navigate complex regulatory landscapes with confidence. Our flagship product, the Regulatory Surveillance and Management System (RSMS), delivers seamless CAT/CAIS reporting to FINRA, comprehensive exception management, and robust regulatory insights. With a proven track record of 100% on-time submissions and near-zero rejection rates, we're trusted by industry leaders to streamline their compliance operations. 𝐑𝐒𝐌𝐒 𝐒𝐩𝐞𝐜𝐢𝐚𝐥𝐭𝐢𝐞𝐬: • CAT Reporting • CAIS Reporting • Regulatory Compliance Solutions • RSMS Vault SEC 17a-4 Compliance Storage Solution • Trading and Compliance Domain expertise • Cloud-based Compliance Tools and more Introducing RSMS Vault We’ve launched RSMS Vault, a cloud-based WORM storage platform purpose-built for SEC Rule 17a-4. It combines immutability, encryption at rest, and comprehensive oversight (monitoring, incident tracking, reconciliation, reporting) with seamless RSMS integration—giving compliance teams clarity and control. Why Choose Capital Market Solutions: Capital Market Solutions delivers FINRA-certified, AWS-secured compliance solutions with advanced encryption and seamless third-party integrations. Our expert regulatory team simplifies complex CAT/CAIS, surveillance, and SEC 17a-4 requirements—ensuring you stay audit-ready and compliant. Trusted by industry leaders like Instinet, Broadridge, and Abel Noser, we’re redefining regulatory excellence through innovation and expertise. 📍 New York, USA | 🌐 https://capmarketsolutions.com/ | 📧 sales@capmarketsolutions.com
1-888-653-2347 
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