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.
TRACE Reporting: An Expanding Scope with Increasing Complexity & Enforcement
The growing need for a full, end-to-end reconciliation and validation
process for FINRAʼs TRACE Reporting
Reading Between the Lines: FINRAʼs 2021 Examination Program Report
A closer look at FINRAʼs report and recent TFCE examination program
Large Trader Reporting: A Renewed Focus & New Obligations for CAT CAIS
A closer look at the expanded requirements for CAT CAIS