Latest Updates | CATNMSPLAN

09/07/2022
Event
CAIS Industry Testing Checkpoint Call (September 07, 2022)
08/31/2022
Event
CAIS Industry Testing Checkpoint Call (August 31, 2022)
08/25/2022
Event
CAIS Industry Testing Checkpoint Call (August 24, 2022)
08/24/2022
Technical Specifications
CAT Industry Member Technical Specifications (2d) v4.0.0 r17
08/23/2022
Event
Monthly CAT Update (August 23, 2022)
08/23/2022
FAQ| T. Production Readiness Testing
T7. Clarifications to the descriptions of the ‘AUTHREP’ and ‘AUTH3RD’ values for the role field were published in version 2.0 r8 of the CAT Reporting Customer and Account Technical Specifications for Industry Members-Full CAIS (“Technical Specifications”) on April 8, 2022. The revised descriptions will require a change to the value my firm must populate in the role field. Given the time constraints between publication and the Production Readiness Certification Deadline for Full CAIS (July 25, 2022), is my firm required to change the ‘AUTH3RD’ value to ‘AUTHREP’ for FDID Records my firm intended to use to conduct testing for production readiness for Full CAIS reporting?
08/23/2022
FAQ| Q. Customer and Account Information
Q66. An Industry Member chooses to optionally report a DVP/RVP account that does not have a clearing number or DTC number. In this scenario, how should the DVPCustodianID field be populated when a DVP/RVP account is temporarily not assigned a clearing number or DTC number because the account is new, or the current clearing number or DTC number has been removed from DTCC's ALERT service and no new clearing number or DTC number is available?
08/18/2022
Event
CAIS Industry Testing Checkpoint Call (August 17, 2022)
08/17/2022
Reference Material
Response to Comments on Proposed CAT NMS Plan Amendment Related to Alternative Funding Model
08/16/2022
Event
CAT CAIS Technical Specification Working Group - August 16, 2022
08/11/2022
FAQ| Q. Customer and Account Information
Q54. Starting with the implementation of Phase 2e (Full CAIS), Industry Members must report one mailing address associated to the FDID in the ‘ADDRESS1’ value of the addrType field. If an FDID is based on a relationship that represents multiple customers with different addresses, and the Industry Member does not store an address for the relationship, but maintains the addresses at the customer level, what address should the Industry Member report to CAIS for ‘ADDRESS1’?
08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
08/11/2022
FAQ| Q. Customer and Account Information
Q44. How should Industry Members report customer and account address information to CAIS?
08/11/2022
FAQ| Q. Customer and Account Information
Q45. FAQ Q44 states that an Industry Member must report all addresses at the Customer-level and Account-level if such address information is reasonably available. If an Industry Member happens to maintain multiple addresses for an Account and/or Customer, that are not directly used for routine account and/or customer communications, are they still required to be reported to CAIS?
08/11/2022
FAQ| M. Firm Designated ID
M7. How will regulators use the Firm Designated ID (FDID)?

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