Consolidated Audit Trail - Are You Ready for Phase 2e?

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - June 01, 2022 12:00 - 17 minutes - 12 MB - ★★★★★ - 7 ratings
Investing Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed

Previous Episode: The Great Resignation - What It Means for Compliance

Next Episode: History Provides Focus for the Future - A History of Equity Markets (Part 1)

Compliance for Phase 2e of CAT reporting will be effective July 11th, 2022. This is a complicated linkage event and there are things firms should be doing to prepare. In today's podcast, Oyster CEO, Buddy Doyle, and Oyster’s CAT expert Ralph Magee talk about the challenges our clients are seeing and things firms should be doing to be ready for this next phase.