Latest Updates | CATNMSPLAN

08/02/2023
FAQ| Q. Customer and Account Information
Q51. How should an Industry Member populate the roleStartDate field if it did not record the date on which the Customer entered into the specified role on the account?
08/02/2023
FAQ| Q. Customer and Account Information
Q28. What is expected to be in CAIS LTID on April 26, 2021, when mandatory reporting starts?
08/02/2023
FAQ| Q. Customer and Account Information
Q3. When must Industry Members submit Customer Account Information and Customer Identifying Information to the CAT?
08/02/2023
Announcement
Update on CAIS Compliance Deadlines
08/02/2023
FAQ| Q. Customer and Account Information
Q40. The CAT NMS Plan specifies that “Active Account” information needs to be populated in CAIS with the implementation of Phase 2e (Full CAIS). What is an “Active Account”?
08/02/2023
FAQ| Q. Customer and Account Information
Q59. What FDIDs are in scope for Full CAIS reporting?
08/02/2023
FAQ| Q. Customer and Account Information
Q65. To facilitate reporting of Authorized Traders as required by the CAT NMS Plan, the Full CAIS Technical Specifications require a firstName, lastName, yearOfBirth, tidType and tidValue to be reported for all Natural Person Authorized Traders. Accordingly, if these fields for Natural Person Customers are not populated, the Customer Record will be rejected. The Plan Participants understand that some Industry Members have not historically collected and systematized a tidValue and yearOfBirth for Natural Person Authorized Traders and may be unable to report them as required by the Full CAIS Technical Specifications per the implementation schedule as set forth in CAT Alerts – 2022-01 and 2023-01. How must Industry Members report Natural Person Customers if they are not able to provide all required information by the Full CAIS Compliance Go-Live date?
08/02/2023
FAQ| Q. Customer and Account Information
Q8. May Industry Members provide Customer Account Information on all of their accounts, not just Active Accounts or those Active Accounts in scope for a given phase of reporting?
08/02/2023
Announcement
4/20/2023 This Announcement Has Been Superseded
08/02/2023
FAQ| Q. Customer and Account Information
Q42. A broker-dealer systematized a Customer’s account information on a specific date, but the new account form was dated with a date prior to the systematized date. Is it permitted for the broker-dealer to report the later systematized date as the fdidDate on the related FDID Record?
08/02/2023
Reference Material
Customer & Account Technical Specifications for Industry Members v2.0 r10 (Clean)
07/31/2023
Reference Material
Q2 2023 QPR
07/31/2023
Reference Material
CAT Industry Member Technical Specifications (2d) v4.0.0 r20
07/28/2023
Event
Monthly CAT Update (July 27, 2023)
07/25/2023
Reference Material
CAT 2022 Financial and Operating Budget

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