
By Ralph Magee
Subscribe to our original industry insightsThe full compliance date for CAT Phase 2e has been released, extending the date from July 11th, 2022, to December 12th, 2022. FINRA CAT has also implemented interim reporting obligations to assist Industry Members and CAT Reporting Agents (CRAs) to achieve full compliance for CAIS reporting. These changes are a direct result of the industry struggling to address reporting challenges, significant delays in error feedback and file processing from the plan provider.
Oyster Consulting’s proprietary Consolidated Audit Trail reporting software includes a CAIS module that can be utilized by firms who do not use the CAT Application for monitoring and evidencing their CAT reporting. Our software consolidates CAT reporting events, error analysis and validation data into a central program. The CAT Application then will identify errors, linkage and gaps between vendor data and CAT reported data.
Our consultants use their deep regulatory experience in trade reporting to help firms achieve their CAT reporting obligations and get the most out of their CAT reporting investment. Leverage our expertise and software to ensure your reporting meets regulatory requirements.
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