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- Technical Specifications
- Technical Specifications
- Reference Material
- Technical Specifications
- Technical Specifications
- Technical Specifications
- FAQ
No, allocations to any account owned or controlled by a broker-dealer are not required to be reported to CAT as Allocation Reports. Allocations to an account owned or controlled by a broker-dealer may be voluntarily reported to CAT but must be identified as a BD account as prescribed in the technical specifications. Note that average price accounts designated for exclusively for a specific customer (not a broker-dealer) are always considered customer accounts.
Topics - FAQ
Introducing and executing brokers are responsible for reporting the LTID information for the accounts of their clients, where they have reported New Order Events of that client to CAT and the account has an LTID. For introducing and executing brokers who are self-reporting to CAT, clearing brokers should provide LTID information to those introducing and executing brokers to facilitate the timely and accurate reporting of such information.
- Reference Material
- Reference Material