n-Tier to Exhibit 2022 SIFMA Compliance & Legal Annual Seminar
n-Tier will be attending this year’s SIFMA Compliance & Legal Annual Seminar. The conference, which will take place from March 20-March 23, is the preeminent meeting place for compliance and legal professionals from across the financial services industry.
A-Team Group Webinar — FINRA CAT CAIS: What to Expect
n-Tier to exhibit 2021 SIFMA Operations Conference
n-Tier will be exhibiting at this year’s 2021 SIFMA Operations Conference & Exhibition 2021 Program.
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
Markets Media: Outlook 2021: Peter Gargone, n-Tier
Our very own Peter Gargone sits down with Markets Media to discuss 2020 and what he expects for 2021.
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.