Consolidated Audit Trail (CAT)
Waters Wavelength Ep. 299: ACA Group’s Carlo di Florio
Carlo di Florio joins the podcast to discuss regulations.
Trade reporting challenges require data re-think
Data accuracy issues are hampering some firms’ regulatory reporting abilities. So why aren’t data professionals more involved? And how can compliance costs be turned into revenue drivers?
From burst to bust: What happens when cloud runs dry?
After years of initial resistance, the capital markets have come to depend heavily on the compute capacity of the public cloud. But increasing market volumes are rapidly outpacing the cloud capacity that organizations thought would be sufficient for…
Now that Oats is scrapped, regulators will have to (Cat)ch up
Retiring Oats is a milestone on the long and winding road to Cat implementation, but the SEC must make some major decisions in a very short timeframe before the Cat journey is over.
Farewell, Oats: Finra announces retirement date
Finra has told firms to stop reporting trades to the Oats tape from September 1, as the SEC's Cat becomes the definitive audit trail for US securities markets activity.
Oats retirement imminent as Cat maintains data quality, Finra says
Oats reporting could be fully migrated to the Consolidated Audit Trail and the Oats system retired as early as June 30.
Waters Wrap: A dangerous game of Cat & hacker (And reg reporting fees)
Anthony takes a look at the Consolidated Audit Trail and concerns over its security. He also touches on the rapidly changing face of the regulatory reporting marketplace.
SEC attorney defends personal information in the Cat
Regulators will need biographical information to get the most out of the Consolidated Audit Trail, advisor said, as broker-dealers and exchanges argue over liability for breaches.
MayStreet hires former SEC CAT advisor as industry ‘rethinks’ market data infrastructure
Manisha Kimmel played a key role in getting the CAT running and worked at rival Refinitiv before joining the US regulator.
This Week: RepRisk/JP Morgan; TP Icap; Moody’s/MioTech; FTSE Russell; SimCorp & More
A summary of some of the past week’s financial technology news.
Post Acquisition, Gresham Looks to Integrate Inforalgo to Improve CAT Offering
The vendor is streamlining its platform for reporting to the consolidated audit trail.
This Week: CAT, SS&C, Nasdaq, SmartStream, OpenFin, OpenDoor & More
A summary of some of the past week’s financial technology news.
As June Deadline Looms, Broker-Dealers Begin Reporting to the CAT
As CAT reporting activity picks up, error rates have somewhat surprisingly been well below what was expected in the testing and production environments.
This Week: MEMX, Sifma, Bloomberg, State Street, Digiterre, Infosys
A summary of some of the past week’s financial technology news.
This Week: ICE, Nasdaq/R3, BMLL/OpenFin, DASH
A summary of some of the past week’s financial technology news.
SEC Issues Another CAT Reprieve as Monday’s Milestone Passes Quietly
While the CAT is now live, few—if any—are reporting. Additionally, there are still concerns among large broker-dealers about the CAT Reporter Agreement.
Industry Given CAT Relief Due to Coronavirus [UPDATE]
The SEC has released a no-action letter, delaying deadlines for the Consolidated Audit Trail until at least mid-May.
This Week: Refinitiv/Scivantage; Goldman Sachs/ICE; ChartIQ; Aquis/NEX & More
A summary of the past week's financial technology news.
FIS to Double Down on RegTech and Multi-Asset Coverage
The company's Investment Operations Suite for asset managers is adapting to regulation and changing investment strategies alongside clients.
CAT Seeks Approval to Mask Personal Data
The CAT is required to gather personal information, but the CAT NMS committee wants to use a masking method for security.