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Getting Ready for CAT

While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin preparations sooner rather than later.

The Panel

  • Nathan Call, Director of Regtech Solutions, Protegent, Global Financial Services, FIS
  • Joshua Beaton, CAT Program Manager and Head of US Regulatory Reporting CTB, and Executive Director, Morgan Stanley
  • Tom Sporkin, Partner, Buckley Sandler
  • James Rundle, Deputy Editor, Buy-Side Technology and News Editor, WatersTechnology

Although the CAT has specific goals and requirements, the effort required to report consistently and accurately to the system may have other benefits for firms, not least in terms of data management.

Join WatersTechnology and an expert panel for this webinar on getting ready for compliance with CAT. The panel discusses where the project is now, what broker-dealers need to be aware of and how early preparations can ultimately save on time and cost.

Key topics discussed include:

  • CAT missed its initial November 2017 deadline. What happens next, and what developments have happened since then?
  • What market participants should be keeping an eye on in terms of technical preparations.
  • CAT-specific solutions for consideration.
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