Why You Should Access
Consolidated Audit Trail (CAT) reporting and CAIS reporting continue to present challenges for broker-dealers, including the increased need for firms to surveil their Cat Reporting Agents (CRAs).
By accessing this case study, you'll gain access to a solution for CAT reporting and overcoming internal reporting issues.
See how other firms are meeting their reporting obligations.
This Case Study
- Examines what happens when there are no internal experts
- How to handle portal issues
- How to avoid exposure to regulatory findings
- How compliance and trade reporting can work together
- Minimum requirements for WSPs