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Regulation

Cowen Completes CAT Go-Live on n-Tier Compliance Workbench

  • n-Tier’s platform gives Cowen comprehensive validation of its reporting data.
by Celeste Skinner
Regulation

Sterling Trading Tech Gets FINRA Approval as CAT Reporting Agent

  • The company can serve as the designated CAT reporting agent for its clients.
by Celeste Skinner
Exchanges

SIFMA Reaches Settlement with US Exchanges for CAT Dispute

  • US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.
by Celeste Skinner
Regulation

SEC Delays CAT Deadline for Broker-Dealers Amid COVID-19

  • The regulator wants firms to focus their efforts on dealing with the coronavirus pandemic.
by Celeste Skinner
Executive Moves

Thesys CAT Appoints Two New Executives to its Leadership Team

  • Edward Watson joins Thesys as Chief Operating Officer and Shane Swanson as Chief Compliance Officer.
by Jeff Patterson
Exchanges

UK's Competition Appeal Tribunal Upholds ICE's Mandatory Sale of Trayport

  • A Competition Appeal Tribunal echoed the concerns of a CMA investigation, which will force ICE to offload Trayport.
by Jeff Patterson
Blogs

Consolidate Audit Trail – Timeliness of Reporting

  • Ahead of Consolidated Audit Trail implementation, the subject of timeliness for reporting remains a topic of conversation.
by Guest Contributors Institutional
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