Report Card: CAIS Open Issues List
Last Updated: 9/8/2022
| # | Summary | Impact | Scope | Impacted Dates | Resolution | Target Resolution Date |
|---|---|---|---|---|---|---|
| n/a |
Report Card: CAIS Closed Issues List
Last Updated: 9/8/2022
| # | Summary | Impact | Scope | Impacted Dates | Resolution | Target Resolution Date |
|---|---|---|---|---|---|---|
| 1 | Duplicate FDID rejections are only showing one rejection to be repaired. Therefore, when there are duplicate rejections, the rejection counts are greater than the counts that needed to be repaired (Repaired+ Outstanding). | Error Rate is overstated | De minimis impact to overall compliance error rate | May 2021 – August 15, 2021 | Go Forward Fix | August 15, 2021 |
| 2 | Repairs not reflected on Report Card in limited cases for April and May 2022 (34 Firms Impacted). | Error Rate is Overstated. | De minimis impact to overall compliance error rate | April 2022 – May 2022 | Go Forward Fix | June 2022 |