Audit

Get the Pitchforks

While no one involved in the building of the stalled Consolidated Audit Trail is free from blame, Anthony says there are reasons to believe the CAT won’t ever materialize, regardless of the plan processor.

Vendors Prep for Initial Margin Big Bang

Tech providers are emerging from all corners as the final phases of initial margin rules closes in, which are expected to capture over 1,000 buy-side and sell-side firms over the next 18 months.

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…

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