Blog Posts

Blog Posts

Get n-Tier’s latest information about complex data problems in finance, risk, and compliance and build informed decisions to explore growing data complexity from a perspective of real-world experience.

Get n-Tier’s latest information about complex data problems in finance, risk, and compliance and build informed decisions to explore growing data complexity from a perspective of real-world experience.

­­­­Navigating Regulatory Landscapes: n-Tier’s Journey in 2023

In the ever-evolving landscape of financial regulations, precision and adaptability are paramount for firms aiming to stay ahead.

n-Tier’s Compliance Workbench: A Data-First Approach to Trade Surveillance

n-Tier's trade surveillance capabilities offer an integrated solution, operating hand-in-hand with our data accuracy and completeness platform.

Webinar Recap

n-Tier x TRADEliance Bullet Point Panel Recap: Rule 605/606

Data Transformation: A Flexible Approach

Explore the importance of data management in managing risk, particularly for sell-side and market-based financial institutions with complex requirements across front-, middle- and back-office functions

FINRA CAT’s Full CAIS (2e) Reporting

Important Reminders for Introducing & Executing Brokers

Electronic Blue Sheets: No End in Sight

Despite CATʼs initial implementation, Electronic Blue Sheets (EBS) remains a regulatory necessity and risk for firms in the wake of Reddit and Gamestop (GME).

Where the Rubber Meets the Road: Taking an Automated Approach to the Next Chapter of CAT

Taking an Automated Approach to the Next Chapter of CAT Excerpt

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
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