FINRA CAT’s Full CAIS (2e) Reporting
Important Reminders for Introducing & Executing Brokers
Trade Surveillance Solutions for Equities, 2023: Market and Vendor Landscape
This report from Chartis analyzes the market for equity trade surveillance solutions.
Electronic Blue Sheets: No End in Sight
Despite CATʼs initial implementation, Electronic Blue Sheets (EBS)
remains a regulatory necessity and risk for firms in the wake of
Reddit and Gamestop (GME).
RegTech Summit London 2023
n-Tier will be attending this year’s RegTech Summit London.
Where the Rubber Meets the Road: Taking an Automated Approach to the Next Chapter of CAT
Taking an Automated Approach to the Next Chapter of CAT Excerpt
An Update from the n-Tier Team: 2023 Mid-Year Milestones
Needs updated excerpt
As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt
After years of preparation, discussion and debate, the Consolidated Audit Trail (CAT) is fully live.
Webinar Review: Cross-Regulation Data Consistency and Accuracy
We recently partnered with A-Team Group to bring together thought leaders from across the financial services industry for an insightful discussion on the overlaps of data elements within and across reporting regions.
n-Tier Wins Best CAT Reporting Solution for Second Year in a Row
RegTech and data solutions company continues to expand client base and provide premier service ahead of upcoming December CAT and CAIS submission deadlines
A-Team Group Webinar: Cross-Regulation Data Consistency and Accuracy
Regulatory reporting obligations continue to expand, bringing with them more overlaps of data elements across reporting regimes.