S3 Offers SEC CAT Solution Ahead of April Reporting Deadline

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A-Team Insight features S3’s all-in-once compliance offering, including S3’s latest product launch, CAT Reporting
by Sarah Underwood
04 February 2020


As reporting to the SEC Consolidated Audit Trail (CAT) fast approaches, with large industry participants and small industry participants reporting to the Order Audit Trail System (OATS) due to submit files on April 20, 2020, vendors are finalising solutions to support firms subject to the regulation.

Among them is S3, a provider of regulatory reporting technology – including a specialism in SEC rules 605 and 606 covering disclosure of order execution and order routing information, trade surveillance, and post-trade analytics.


Read full article here.

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