CAT NMS has selected the Financial Industry Regulatory Authority (FINRA) as plan processor for the consolidated audit trail (CAT), having dumped previous plan processor Thesys Technologies earlier this year. CAT NMS, which is responsible for implementation of the CAT, has also released updated industry member technology specifications and industry member technical specifications scenarios.
A-Team Insight Briefs
The importance of data standards and global identifiers continues to be emphasised by both capital markets participants and their regulators. But how much progress is actually being made in developing and implementing standards that will improve data quality for better business decisions, provide regulators with a clearer view of systemic risk, and ensure more stable...
The release of mapping between International Securities Identification Numbers (ISINs) and Legal Entity Identifiers (LEIs) by the Association of National Numbering Agencies’ (ANNA) and the Global LEI Foundation (GLEIF) has received a positive industry response, but also raised questions about why a significant number of National Numbering Agencies within ANNA have not yet opted into...
The TradingTech Summit is aimed at senior-level decision makers in trading technology, electronic execution, trading architecture and explores progress trading firms are making towards digital transformation initiatives and how they are using high performance technologies to gain an edge in the current regulatory environment.
Welcome to our brand new RegTech Suppliers Guide. This unique guide provides detailed data profiles on close to 100 suppliers in the RegTech world, offering you an unrivalled selection of solutions for your most pressing financial regulatory challenges. The aim of the A-Team’s RegTech Suppliers Guide is to steer you through this complex marketplace, offering...