Consolidated Audit Trail (CAT)

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…

The Curious Case of the Trader–Vendor

Tradeworx, now Thesys Group, is the latest in a series of firms that has decided to pull back from trading activities and focus on fintech. And it’s unlikely to be the last.

Industry Fears Neutered CAT in 2018

The SEC’s Consolidated Audit Trail (CAT) of US equities trade data hit a fresh snag in late 2017, missing a major deadline for reporting, blaming insufficient cyber defenses. As it marches into another crucial year, Tim Bourgaize Murray reports on the…

January 2018: Getting Your Bitcoin’s Worth

Financial firms spent a lot of last year focused on Mifid II compliance, but also clearly spent significant time following the ups and downs of cryptocurrencies - and assessing whether to invest in this new asset class.

AI-Spy: Machines Close in on Pricing Manipulators

Artificial intelligence is gaining traction among regulators, exchanges and financial firms sifting through massive amounts of data to spot potential pricing manipulation. Kirsten Hyde asks whether the industry is ready to go all in on AI.

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