A Future of Finance interview with Peter Gargone, CEO of n-Tier Financial Services.
Our very own Peter Gargone sits down with Markets Media to discuss 2020 and what he expects for 2021.
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.
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.
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.
Our very own Peter Gargone sits down with Markets Media to discuss CAT and other important file submission deadlines.