Development

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 Right Place at the Right Time

Technology can’t solve all of the market’s problems. But sometimes events can conspire to make it seem like it can. James warns on the propensity among technologists to believe in false prophets.

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