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Compliance with the SEC's Consolidated Audit Trail (CAT) regulation is just over 18 months away, meaning broker dealers within the scope of the regulation need to get started on their response. Like Markets in Financial Instruments Directive II (MiFID II), CAT reporting presents significant – and similar – data management challenges, particularly around customer, account and order data. So, what should broker dealers be doing to prepare now?
Join the webinar to find out about:
- The regulation’s timeline
- CAT data requirements
- Customer and account data reporting
- Data management challenges
- Technology solutions
- Step-by-step implementation
Speakers:
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Moderator: Sarah Underwood, Editor, |
Nagaraj Swaminathan, |
David Emero, Vice President, Americas Regulatory Operations Group, Goldman Sachs |
Tony Brownlee, Partner, Kingland |
More About Our Speakers:
Nagaraj Swaminathan
Executive Director
Ernst & Young LLP
Nagaraj is an executive director in the EY’s Financial Services Advisory practice. He has more than 25 years of experience in business process and information technology consulting across multiple industry segments and different types of clients. Over the past few years, Nagaraj has focused on risk management and operations improvement across the trade lifecycle for broker dealers from client onboarding to trade processing and regulatory reporting. He has advised clients and led engagements on risk controls design, process redesign, requirements definition, UAT testing, and governance frameworks. He is one of the key leaders of the Consolidated Audit Trail initiative at Ernst & Young.
David Emero
Vice President, Americas Regulatory Operations Group
Goldman Sachs
David Emero is a manager in the Americas Regulatory Operations Group. David’s group focuses on regulatory reporting and monitoring of securities and derivatives orders, trades, transactions and positions under US securities regulations. He has been an active participant in many industry working groups focused on regulatory reporting (such as CAT, OATS, Large Trader, and Bluesheets). David graduated from MIT (BS) and Fordham University (MBA).
Tony Brownlee
Partner
Kingland
Tony Brownlee is a Kingland partner and board member, responsible for leading and setting the company’s Data Science and Research strategy worldwide. Mr. Brownlee has been instrumental in leading complex data and software initiatives at Kingland, as a founding member of the Kingland team that built the company’s first data platform, to his work with the Legal Entity Identifier (LEI) developing the first LEI platform in the world for DTCC. Mr. Brownlee’s leadership extends across the company as he has managed numerous operational, product development, business development, and client relationship management functions for the company. Tony worked closely with US regulators for more than four years on the Consolidated Audit Trail and is a leading expert on customer and account data and regulatory reporting issues. Mr. Brownlee is recognized as a thought leader in financial services and data topics and speaks regularly on data quality, data governance, data standards, legal entity and hierarchy data, and cognitive technologies and has served on various committees including the Securities Industry Financial Markets Association (SIFMA); the International Standards Organization (ISO); the Financial Stability Board (FSB) for the LEI; and the Enterprise Data Management Council (EDMC).
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