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Q. Customer and Account Information

This topic includes information related to the requirements for reporting customer and account data to the CAT.

UPCOMING EVENT

Feb

20

Monthly CAT Update (February 20, 2025)

04:15PM EST

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Displaying 131 - 140 of 295 results

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All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

W. Fee Dispute Resolution

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08/11/2022
FAQ
Q41. FAQ Q40 states that all accounts with any CAT-reportable activity on or after June 12, 2022 must be reported to CAIS with the implementation of Phase 2e (Full CAIS). Are Industry Members required to capture and report updates or changes to customer and account information that occur between June 12, 2022 and the first time the record is required to be reported to CAIS?

Topics

Q. Customer and Account Information
08/09/2022
FAQ
Q64. When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?

Topics

Q. Customer and Account Information
08/09/2022
FAQ
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?

Topics

Q. Customer and Account Information
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
- CAIS Industry Testing Checkpoint Call (August 3, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
- Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
08/02/2022
Event
Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022)
- Part 1: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 2, 2022) - Presentation
Audio file

Topics

Q. Customer and Account Information
07/28/2022
Event
Monthly CAT Update (July 28, 2022)
- Monthly CAT Update (July 28, 2022) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
07/28/2022
Event
CAIS Industry Testing Checkpoint Call (July 27, 2022)
- CAIS Industry Testing Checkpoint Call (July 27, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
07/26/2022
FAQ
Q63. How must an FDID Record be reported to CAIS when the account holder is a foreign trust or foreign estate where an allowable Input Identifier value does not exist because the foreign country or foreign municipality does not require or issue any kind of identifier for the foreign trust or foreign estate, and no such other allowable Input Identifier exists? For example, the foreign trust or foreign estate has no associated Legal Entity Identifier (LEI), and is also not assigned any National Registration or Tax Identifier, or any other governmental-issued identifier by a non-national level government body or agency, such as a corporate registry.

Topics

Q. Customer and Account Information
07/20/2022
Event
CAIS Industry Testing Checkpoint Call (July 20, 2022)
- CAIS Industry Testing Checkpoint Call (July 20, 2022) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information

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