Foreside walked attendees through an overview of FINRA’s Consolidated Audit Trail (CAT) and the CAT Customer and Account Information System (CATCAIS) as well as how it could impact your firm and potential reporting and compliance responsibilities.
- Breakdown of Consolidated Audit Trail (CAT)
- What is CAT Customer and Account Information system (CATCAIS)
- Who it Impacts
- Firm Responsibilities
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