S3 Chief Software Architect Josh Barry speaks with Chris Kentouris at Finops Report, about existing challenges that exist with the Consolidated Audit Trail (CAT) ahead of upcoming deadlines.
by Chris Kentouris
12 September 2020
Trade compliance, regulatory operations, and technology managers at US broker-dealers will need to quickly cross their Ts and dot their I’s when it comes to documentation, data and IT if they want to pass muster with the Financial Industry Regulatory Authority’s examiners for reporting to the new Consolidated Audit Trail (CAT) and survive one of the trickiest milestones — interfirm linkage reporting– just around the corner.
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