Oyster Stew - A Broth of Financial Services Commentary and Insights
Inside the Latest CAT and CAIS Reporting Issues
May 06, 2025
Oyster Consulting, Ralph Magee, Steve Khus
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
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