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131 Lincoln Road North

London Head Office

Aldermary House10-15 Queen Street

New York Office

11 Park Place, 3rd Floor
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Singapore Office

7 Straits ViewMarina OneEast Tower #05-01

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Level 6, 1 Pacific Highway
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Block E, European Business & Banking Centre6, route de Treves

London Office

128 Wigmore Street


+44 20 7635 0200


Chris Errington
[email protected]

RegFlex: Consolidated Audit Trail (CAT)

RegFlex: Consolidated Audit Trail (CAT)

Regulatory reporting has become a significant undertaking in Capital Markets and new Consolidated Audit Trail requirements, due to apply from November 2019 as mandated by Rule 613 of the US Securities Exchange Commission (SEC), are among the most demanding yet.

Consolidated Audit Trail (CAT) will allow regulators to more efficiently monitor eligible equity and option securities trading activity throughout US markets – via a single, comprehensive database. It requires that orders and broker-dealer activity are tracked right across the trade lifecycle.

The opportunity to perform big-data analytics on this comprehensive and harmonised data, enables firms to turn regulatory obligations into strategic business value.

For more information, please visit:

You can also download our free eBook :

Or, talk to one of the team on [email protected] or  +44 (0)121 708 1155



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