n-Tier

Regulatory Compliance

Consolidated Audit Trail (CAT)

 

Reconciliation, Validation, Reporting and Error Correction


n-Tier’s CAT offering couples our deep regulatory experience with our unique software platform to provide firms with a comprehensive solution for meeting their CAT reporting obligation, while minimizing both cost and risk. With years of experience working for firms on longstanding regulations such as Electronic Blue Sheets and OATS, as well as the required reference data, our team is uniquely positioned to help organizations meet the challenges presented in linking all the disparate data sources needed to reconcile, validate and generate CAT reports. Our regulatory reporting expertise together with our extensive knowledge of brokerage covering trading, middle-office, and settlement across all asset classes, allows us to provide clients with the support and guidance needed to seamlessly transition to new reporting requirements. Our Compliance Workbench is the only platform, which has been proven to programmatically unwind the complexity of trade flows across all front and back office environments to produce accurate regulatory reports while providing the independent monitoring and controls needed to manage reporting obligations.

Functionality Overview

  • Be better prepared for CAT by leveraging our existing reconciliation, validation and reporting framework, including parallel validation with CAT submissions

  • A single platform to view your CAT reports, underlying source data, related firm and client reporting and corresponding books and records

  • Continuous reconciliation and validation across all CAT inputs and related firm and client reporting, including internal and external data sources

  • Leverage your CAT reporting to bolster and supplement compliance and surveillance functions, to monitor activity using the same data as the regulators

  • Scalable architecture proven in production at some of the world’s largest financial institutions

  • Configurable platform can integrate with complex trading environments with no development effort required

  • Customizable complex rule sets to validate and accurately submit regulatory reports for all of your CAT related data

  • Web-based GUI with easy-to-use dashboards which allow users to quickly and efficiently identify, monitor, and manage errors which may impact their reports

  • Can be run on-site or as a fully hosted cloud-based solution, allowing for quick time to market

This n-Tier offering provides a uniquely flexible solution with extensive functionality which is part of our existing regulatory platform that has been used by some of the largest financial institutions for years.

E-mail sales@ntierfs.com to learn more.