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FINRA Named as the New CAT Operator

March 1, 2019 by Eugene Grygo

FINRA Named as the New CAT Operator

The backers of the big data consolidated audit trail (CAT) have selected the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization (SRO), to be the next plan processor for the CAT system, replacing Thesys Technologies, which was acting as Thesys CAT. Late last month, news broke that Thesys CAT was being phased out of the plan… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Corporate Actions, Data Management, Industry News, Operational Risk, Ops Automation, Settlement, General Interest, Governance, FinTech Trends, Back-Office, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: CAT effort, Chris Iacovella, data security, equity securities, FINRA, national securities exchanges, OTC, over the counter, SEC, Thesys CAT, trade execution

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