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.

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

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

Experience Our Solutions

Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.

Experience Our Solutions

Experience Our Solutions

Some text about what to expect for follow-up communications re: the demo

Some text about what to expect for follow-up communications re: the demo