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Regulation

Cowen Completes CAT Go-Live on n-Tier Compliance Workbench

n-Tier’s platform gives Cowen comprehensive validation of its reporting data.

Thursday, 23/07/2020 | 04:02 GMT by Celeste Skinner

Regulation

Sterling Trading Tech Gets FINRA Approval as CAT Reporting Agent

The company can serve as the designated CAT reporting agent for its clients.

Wednesday, 10/06/2020 | 03:21 GMT by Celeste Skinner

Exchanges

SIFMA Reaches Settlement with US Exchanges for CAT Dispute

US Exchanges have agreed to remove language which limits their liability should the CAT database be breached.

Thursday, 14/05/2020 | 06:22 GMT by Celeste Skinner

Regulation

SEC Delays CAT Deadline for Broker-Dealers Amid COVID-19

The regulator wants firms to focus their efforts on dealing with the coronavirus pandemic.

Tuesday, 21/04/2020 | 06:39 GMT by Celeste Skinner

Executive Moves

Thesys CAT Appoints Two New Executives to its Leadership Team

Edward Watson joins Thesys as Chief Operating Officer and Shane Swanson as Chief Compliance Officer.

Thursday, 25/05/2017 | 15:46 GMT by Jeff Patterson

Exchanges

UK's Competition Appeal Tribunal Upholds ICE's Mandatory Sale of Trayport

A Competition Appeal Tribunal echoed the concerns of a CMA investigation, which will force ICE to offload Trayport.

Tuesday, 07/03/2017 | 07:50 GMT by Jeff Patterson

Blogs

Consolidate Audit Trail – Timeliness of Reporting

Ahead of Consolidated Audit Trail implementation, the subject of timeliness for reporting remains a topic of conversation.

Thursday, 02/03/2017 | 15:01 GMT by Guest Contributors Institutional

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