FinOps Report: FINRA’s CAT: Customer Account Data Management Challenge
Reporting correct customer data for the next phase of the requirements of the US Financial Industry Regulatory Authority’s Consolidated Audit Trail (CAT) system will end up being a time-consuming and costly exercise in data management for US broker-dealer regulatory reporting, trade compliance and IT managers.
RegTech Insight: FINRA Starts the Clock on OATS Retirement
Peter Gargone of compliance software specialist n-Tier discusses the complexities of the transition, and the importance of implementing proper policies, procedures, governance structures and control processes for your CAT reporting regulatory obligations.
Cowen partners with n-Tier
With n-Tier’s compliance workbench platform, Cowen has implemented an efficient process for aggregating and validating CAT reports from all their external vendors and internal trading systems.
Markets Media: CEO Chat: n-Tier, Peter Gargone
Our very own Peter Gargone sits down with Markets Media to discuss CAT and other important file submission deadlines.
n-Tier’s record 2019 driven by industry adoption of its Compliance Workbench platform for CAT reporting and validation capabilities
n-Tier’s Record 2019 Driven by Industry Adoption of its Compliance Workbench Platform for CAT Reporting and Validation Capabilities
The Employees Retirement System of Texas (ERS) Selects n-Tier’s Control Workbench as a Centralized Data Reconciliation Service for their Finance and Investment Operations Departments
The Employees Retirement System of Texas (ERS) Selects n-Tier’s Control Workbench as a Centralized Data Reconciliation Service for their Finance and Investment Operations Departments.
n-Tier Adds Trace Reporting Validation Capabilities to Its Compliance Workbench Offering
Continuing the expansion of its Compliance Workbench trade reporting verification platform — n-Tier enables 100% verification of your Trace reporting with a highly automated and sustainable process
Revolutionary Data Warehouse in a Box Product Release!
n-Tier, an industry-leading software provider, today announced the release of its Data Warehouse in a Box (DWB) offering providing clients with the ability to rapidly create any type of data warehouse with no development expense.
Blue Sheet Reporting (SEC Rule 17a-25) and Large Trader Reporting Rule (SEC Rule 13h-1) Compliance Enabled By n-Tier’s Compliance Workbench
n-Tier releases Compliance Workbench enabling Compliance Professionals to achieve a best-in-class standard in complying with FINRA Blue Sheet Reporting requirements and with the Large Trader Reporting Rule.
n-Tier Releases AccessPoint for iPad
Advanced iPad app enables people to easily and securely access all of their business or personal files directly on their iPad either online or offline