A-Team Insight Briefs

Mid Atlantic Capital Chooses SS&C Technologies for FINRA CAT Reporting

23 June 2020

Mid Atlantic Capital Group has chosen SS&C to automate its FINRA Consolidated Audit Trail (CAT) reporting obligations. The Securities and Exchange Commission will require all broker-dealers to report equities and options transaction data to FINRA CAT at the end of the month. SS&C will monitor, submit and correct transactional data on behalf of Mid Atlantic Capital as part of its full-service offering. The SS&C CAT Reporting Portal is a secure, web-based service that aggregates and enriches broker data across broker’s platforms and translates it into FINRA-compliant CAT reports. The Portal also provides an interactive front-end to enable customers to manage exceptions.

FINRA CAT certified more than 70 firms before the June 8^th certification deadline with SS&C as the CAT Reporting Agent.

RegTech Insight

WEBINAR

Recorded Webinar: The Transformation of Buy-Side Market Surveillance

Asset managers, hedge funds, insurance firms, and other buy-side firms globally are becoming more active in their approach to market surveillance, as regulatory pressure to up their game mounts. Buy-side firms are now building out their surveillance infrastructure as they seek to respond to the requirements posed by Dodd-Frank, MiFID II and the Market Abuse...

Find out more

07 July 2020

Buy-Side Regulations Data Delivery, Cloud & Managed Services Dodd-Frank Financial Crime Market Abuse Regulation (MAR)MiFID II Post-Trade Regulatory compliance Regulatory Technologies Trade SurveillanceRegTech Insight TradingTech Insight

BLOG

Libor Transition: Have You Thought About FRTB Yet?

It comes as no surprise that the ongoing Libor transition is posing and will continue to pose massive data management challenges for banks and affected financial institutions – many of which we have already covered in detail in these pages. But one factor that might perhaps have been overlooked is the impact of the LIBOR...

10 March 2020

FRTB Regulatory Data Regulatory ReportingRegTech Insight

EVENT

Data Management Summit London

Now in its 10th year, the Data Management Summit (DMS) in London explores how financial institutions are shifting from defensive to offensive data management strategies, to improve operational efficiency and revenue enhancing opportunities. We’ll be putting the business lens on data and deep diving into the data management capabilities needed to deliver on business outcomes.

19 March 2021

Data Management Insight

GUIDE

Entity Data Management Handbook – Sixth Edition

High-profile and punitive penalties handed out to large financial institutions for non-compliance with Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations have catapulted entity data management up the business agenda. So, too, have industry and government reports on the staggering sums of money laundered on a global basis. Less apparent, but equally important, are...

12 March 2020

Compliance 2.0 Data Delivery & Distribution Data Lineage Data Quality Data Strategy Entity Data, KYC and Client Onboarding KYC / AML and Client Onboarding Market Abuse Regulation (MAR)Other Regulations Regulatory Compliance Regulatory Data Symbology & IdentifiersData Management Insight RegTech Insight