Last Updated: 2/10/2021
|#||Summary||Impact||Scope||Impacted Dates||Resolution||Target Resolution Date|
|1||Repairs not reflected in very limited cases. Still researching root cause.||Error rate is overstated||De minimis impact to overall compliance error rate||July - present||Go-forward fix||TBD|
|2||Unique ROE IDs that are unlinked for multiple reasons on different processing dates are improperly counted once per processing date.
Please note unique ROE IDs that are unlinked for multiple reasons on the same processing date are correctly counted once.
|Error rate is overstated||De minimis impact to overall compliance error rate||August - present||Go-forward fix||TBD|
|3||Improperly excluding counts for events occurring on the first trade day of a month, and reported early, such that the event was received on the last processing date of the prior month.
For example, event occurs on 12/1/2020 at 5am, and is reported to CAT on 12/1/2020 before 8am, which is the processing date for CAT Trading Day of 11/30/2020.
|Events and any related errors are excluded from the report card.
||De minimis impact to overall compliance error rate||July - December 2020||Go-forward fix||January 2021|