Important Reminders for Introducing & Executing Brokers
This report from Chartis analyzes the market for equity trade surveillance solutions.
Despite CATʼs initial implementation, Electronic Blue Sheets (EBS)
remains a regulatory necessity and risk for firms in the wake of
Reddit and Gamestop (GME).
n-Tier will be attending this year’s RegTech Summit London.
Taking an Automated Approach to the Next Chapter of CAT Excerpt
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.
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.
RegTech and data solutions company continues to expand client base and provide premier service ahead of upcoming December CAT and CAIS submission deadlines
Regulatory reporting obligations continue to expand, bringing with them more overlaps of data elements across reporting regimes.