Not Thinking About Consolidated Audit Trail? You Should Be!
Consolidated Audit Trail (CAT) is fast approaching and will go live in April 2020, but ALL U.S.-registered broker-dealers MUST register to the new CAT NMS before June 27th, 2019. With the intention to eventually replace OATS, CAT introduces added reporting obligations requiring you to submit reportable events directly to FINRA CAT.
SS&C is leading the charge to help you navigate the new sweeping FINRA regulation with SS&C CAT Reporting Portal. The portal is designed to fully manage and automate the entire reporting lifecycle in compliance with the CAT requirements. This overview dives into how you can meet your reporting obligations with SS&C CAT Reporting Portal and informs you on how to register with FINRA.
SS&C Can Help You:
- Consolidate your reportable trading activity
- Ensure your data is in a CAT-reportable format
- Automate your reporting to FINRA CAT
- Manage all your reporting activity with a complete audit trail
Fill out the form to learn more about SS&C CAT Reporting Portal.