Join S3 and FinOps Report for a free webinar on creating the right data linkages for reporting to the Financial Industry Regulatory Authority’s Consolidated Audit Trail.
Sponsored by S3
Save the date: Wednesday, October 21, 2020
Time: 4:30PM EST
Contact: Michelle Lindenberger, S3 media/PR manager, at lindenberger.michelle@gmail.
com for free dial-in details
For broker-dealers’ trade operations, regulatory reporting, financial technology and compliance managers who must follow the Financial Industry Regulatory Authority’s reporting requirements for the Consolidated Audit Trail, ensuring the correct data linkages between interfirm trades, submissions to trade reporting facilities, exchanges and customer accounts could end up being the most difficult challenge. Broker-dealers can’t afford to make too many mistakes and given the vast amount of data, number of trades executed, and number of systems involved the potential for error is high. FinOps Report has teamed up with S3, a FINRA-approved CAT reporting agent, to provide useful recommendations on how to ease the CAT reporting challenges. Mark Davies, chief executive officer of S3, and Josh Barry, chief software architect of S3, will answer the questions broker-dealers should be asking on:
*What causes data linkage breaks
*How can regulatory reporting and operations managers reduce breaks
*How can technology managers help
*When should compliance directors get involved
*How can reporting vendors help
This free webinar is a must attend for regulatory reporting, compliance, technology and trade operations managers at US broker-dealers, reporting vendors, legal counsel, and other service providers. Those interested in attending can please contact Michelle Lindenberger, marketing/PR manager for S3, at lindenberger.michelle@gmail.
com for all the dial-in details for the webinar. Please include your full name, title, name of firm, and email address.
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