The U.S. Securities and Exchange Commission’s (SEC) Consolidated Audit Trail (CAT) is the latest effort to increase the transparency of capital markets trading while ensuring competition and fair customer treatment. Similar to many other regulatory efforts, the CAT involves shifting timelines and large changes in technology, operations, and processing flows.
This whitepaper explores how firms can turn these compliance challenges into advantages.
About Broadridge Financial Solutions
Broadridge Financial Solutions, a $4 billion global fintech leader, provides investor communications and technology-driven solutions for broker-dealers, banks, mutual funds and corporate issuers globally. Broadridge’s investor communications, securities processing and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With over 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 90 percent of public companies and mutual funds in North America, and processes more than $5 trillion in fixed income and equity trades per day. Broadridge employs approximately 10,000 full-time associates in 16 countries.