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CAT
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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.
Thursday, 23/07/2020 | 04:02 GMT
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.
Wednesday, 10/06/2020 | 03:21 GMT
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.
Thursday, 14/05/2020 | 06:22 GMT
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.
Tuesday, 21/04/2020 | 06:39 GMT
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.
Thursday, 25/05/2017 | 15:46 GMT
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.
Tuesday, 07/03/2017 | 07:50 GMT
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.
Thursday, 02/03/2017 | 15:01 GMT
by
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