Consolidated Audit Trail: Impacts, opportunities, and readiness approach
Banking & Securities
October 10 | 2 p.m. ET | 18:00 GMT
Host: Robert Walley, principal, Deloitte & Touche LLP
1 Overview CPE credit | Specialized Knowledge
The Consolidated Audit Trail (CAT) represents a shift in how regulators will oversee the securities markets and trading activities. It will also greatly expand the scope of transaction reporting required by US broker-dealers. How can timely planning help broker-dealers seize broader strategic opportunities presented by CAT? We'll discuss:
- An overview of SEC Rule 613 and related requirements, including data collection and reporting to a central repository.
- Implications for the broker-dealer and wealth management sectors, including considerations for regulatory compliance, operations, technology, risk management, and internal controls.
- Considerations for implementing a CAT compliance program.
Participants will learn about potential impacts, opportunities, and considerations for creating, implementing, and maintaining a CAT program.