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Birmingham Office

131 Lincoln Road North
Birmingham
GB

London Office Head Office

Aldermary House 10-15 Queen Street
London
GB

New York Office

11 Park Place, 3rd Floor
New York
NY
US

Telephone

+44 20 7635 0200

Contact

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: https://inforalgo.com/applications/consolidated-audit-trail/

You can also download our free eBook :https://inforalgo.com/consolidated-audit-trail-ebook/

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

 

 

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