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Is the SEC Defanging or Protecting the CAT?

February 12, 2025 by Eugene Grygo

Is the SEC Defanging or Protecting the CAT?

Is the Securities and Exchange Commission (SEC) undercutting or protecting the Consolidated Audit Trail (CAT) through a new exemption that would allow “natural persons” to sidestep supplying “certain personally identifiable information (PII)” such as names, addresses, and years of birth? CAT is an ambitious and controversial big data, U.S. securities transaction monitoring project that has… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Data Management, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: Big Data, CAT, compliance, Consolidated Audit Trail, Financial Crime, SEC, Standards

FINRA Is Closely Watching for Inaccurate CAT Reporting

May 2, 2024 by Eugene Grygo

FINRA Is Closely Watching for Inaccurate CAT Reporting

The controversial Consolidated Audit Trail (CAT), which has already been fending off lawsuits and industry pushback, has had “instances of millions if not billions of late or inaccurately reported order events,” says Bill St. Louis, executive vice president and head of enforcement at the Financial Industry Regulatory Authority (FINRA). The need to stay on top… Read More >>

Filed Under: Securities Operations, Affirmation, Allocation & Confirmation, Back Office, Corporate Actions, Data Management, Operational Risk, Ops Automation, Sell-Side, Standards, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Enforcement, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, Big Data, CAT compliance, CAT Project, Consolidated Audit Trail (CAT), FINRA, SEC, surveillance, wall street

CAT Data Helps SEC Build Insider Trading Case

December 23, 2022 by Eugene Grygo

CAT Data Helps SEC Build Insider Trading Case

The ambitious, big data, securities transaction monitoring project known as the Consolidated Audit Trail (CAT) helped SEC officials build a case in an alleged, multi-year, insider trading scheme that yielded $47 million for the accused perpetrators, according to the SEC. “The SEC staff analyzed trading using the Consolidated Audit Trail (CAT) database to uncover [Alan]… Read More >>

Filed Under: Securities Operations, Data Management, Operational Risk, Ops Automation, Governance, Artificial Intelligence, Digital Transformation, FinTech Trends, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, Big Data, broker-dealer, Consolidated Audit Trail (CAT), data management, Dodd-Frank, FINRA, SEC, sell side, SRO, U.S. Department of Justice, wall street

SIFMA Draws Attention to CAT Data Issues

February 8, 2021 by Eugene Grygo

SIFMA Draws Attention to CAT Data Issues

The Securities Industry and Financial Markets Association (SIFMA) has had securities industry data breaches on its mind lately. First, SIFMA is calling on the SEC to temporarily halt the technical specification process for the Customer and Account Information System (CAIS) of the Consolidated Audit Trail (CAT) because the industry group is questioning whether the data… Read More >>

Filed Under: Securities Operations, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Risk Management, Governance, FinTech Trends, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Reporting, Industry News Tagged With: automation, Big Data, compliance, Consolidated Audit Trail (CAT), data management, exchanges, National Market System (NMS), SEC, Securities Industry and Financial Markets Association (SIFMA), Securities Operations, self-regulatory organization (SRO), Sifma

CAT Helps Sell Side Boost Regulatory Ops: Q&A

May 13, 2020 by Eugene Grygo

CAT Helps Sell Side Boost Regulatory Ops: Q&A

(The Consolidated Audit Trail (CAT) was in the headlines last month as the SEC revised the CAT reporting timeline for broker-dealers due to the complications caused by the COVID-19 pandemic. The new milestones for CAT reporting in 2020 are: June 22: initial equities reporting for large broker-dealers and small broker-dealers that report to FINRA’s Order… Read More >>

Filed Under: Securities Operations, Buy-Side, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Risk Management, Governance, FinTech Trends, Back-Office, Integration, Standards, Opinion, Q&As, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: Big Data, Broadridge Financial Solution, compliance, Consolidated Audit Trail (CAT), data management, operations, regulatory reporting, Securities Operations, sell side

Asset Managers Must Disrupt Hiring Practices: Report

April 17, 2019 by Eugene Grygo

Asset Managers Must Disrupt Hiring Practices: Report

The disruptions rocking the securities industry — fee compression and consolidation, artificial intelligence, big data, analytics and social media — are rippling through the asset management sector and compelling many to reconsider hiring practices for core business functions. This is according to a report from Greenwich Associates, “Top Asset Management Talent Will Need to Evolve…… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Securities Operations, Buy-Side, Data Management, Industry News, Operational Risk, Ops Automation, General Interest, Governance, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, FinTech Trends, Blockchain/DLT, Opinion, Minding the Gap, KYC, Regulation & Compliance, Industry News, People Moves Tagged With: analytics, artificial intelligence, asset management, Big Data, consolidation, Eugene Grygo, Greenwich Associates, Minding the Gap, Sara Sikes, securities industry, social media

Lucena to Apply A.I. to Wall Street Horizon’s Data

March 1, 2019 by Eugene Grygo

Lucena to Apply A.I. to Wall Street Horizon’s Data

Lucena Research, a predictive analytics vendor, and Wall Street Horizon, a provider of corporate earnings and events data, have announced that they are combining forces to yield offerings that could uncover “actionable signals” for investment. With the partnership in place, Lucena will validate Wall Street Horizon’s data using artificial intelligence (AI) and machine learning technologies,… Read More >>

Filed Under: Data Management, Middle-Office, Risk Management, General Interest, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, Back-Office, Integration, Standards, Industry News Tagged With: AI, artificial intelligence, Big Data, Erez Katz, events data, Lucena Research, machine learning, ML, model portfolios, R&D, smart data, validation reports, Wall Street Horizon

ISITC Jolts Ops Standards, Embraces the Cutting-Edge

August 17, 2018 by Eugene Grygo

ISITC Jolts Ops Standards, Embraces the Cutting-Edge

(FTF News got a rare chance to check in with Erica Borghi, the current chair of the International Securities Association for Institutional Trade Communication (ISITC), and Lisa Iagatta, current vice chair for ISITC, an industry group that advances standards, technology and best practices for financial services operations. In a wide-ranging Q&A, they provide updates on… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Back-Office, Blockchain/DLT, Standards, Opinion, Q&As, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: APIs, Big Data, blockchain/DLT, collateral, corporate actions, cryptocurrencies, Erica Borghi, ISITC, Lisa Iagatta, margin, policy developments, Q&A, securities, SWIFT

Buy Side Finds New Love for Public Clouds, Big Data

July 13, 2017 by Eugene Grygo

Buy-side firms once reluctant to embrace cloud computing are apparently changing course as two-thirds of those responding to a recent survey intend to use the services of public cloud providers over the next five years. The survey and research from Boston-based Sapient Consulting also focuses on other emerging technologies that are disrupting how the buy… Read More >>

Filed Under: Securities Operations, Buy-Side, Data Management, FinTech Trends, Regulation & Compliance, Cybersecurity Tagged With: artificial intelligence (AI), Big Data, cloud computing, Cybersecurity, data as a service (DaaS), data privacy, Infrastructure as a service (IaaS), Platform-as-a-Service (PaaS), public cloud, Sapient, software-as-a-service (SaaS)

Riskalyze Scores $20M Investment via FTV Capital

November 2, 2016 by Louis Chunovic

Riskalyze Scores $20M Investment via FTV Capital

Riskalyze, an Auburn, Calif.-based risk analytics vendor, reports that it has received a $20 million minority growth equity investment in an initial “outside institutional round,” led by FTV Capital, an equity investment firm. FTV, which specializes in fintech-related investments, says that it has raised more than $2.7 billion for positions in 93 portfolio companies that… Read More >>

Filed Under: Securities Operations, Buy-Side, Operational Risk, Risk Management, General Interest, FinTech Trends, Regulation & Compliance, Industry News Tagged With: artificial intelligence, Big Data, FTV Capital, risk analytics, Riskalyze

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