CAT Goes Live Part 2: What Should My Firm Be Doing?

  As a continuation of last week’s update on CAT activity, we will dive into more detail regarding a few panel comments regarding upcoming milestones found on the compliance timeline.   As we pointed out last week, it has been a remarkable achievement for the industry to have arrived at the compliance implementation for the… READ MORE

CAT Update – SEC Issues Anticipated Extended Exemptive Relief

Just a few weeks ago we announced the SEC’s provision of exemptive relief, which allowed Industry Members to delay their CAT reporting until May 20th.  At that time, CAT participants had also formally requested additional relief.  Well, they got their wish. The SEC has now provided the relief, which is more in line with the… READ MORE