Inside the Latest CAT and CAIS Reporting Issues

Join Oyster experts as they provide real-world insight into the shifting CAT and CAIS landscape, including:

• The current regulatory focus on removing PII information from CAIS reporting
• Implementation uncertainty - where FINRA guidance falls short
• Member firms grappling with the scope of PII removal at account and customer levels
• Blue sheets and CAIS - redundant reporting and integration challenges
• CAT reporting's critical role in market surveillance during volatile trading periods
• How the multi-year phased implementation approach provides a potential model for future regulations

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting