Latest Updates | CATNMSPLAN

08/11/2022
FAQ| Q. Customer and Account Information
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?
08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
08/11/2022
FAQ| Q. Customer and Account Information
Q15. If an Industry Member ends an LTID to FDID association for a legitimate reason (such as the customer no longer qualified as a large trader), and later is required to reestablish it, what should the ltidEffectiveDate be?
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
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?
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
FAQ| U. Allocations
U16. Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
08/09/2022
FAQ| Q. Customer and Account Information
Q50. Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
08/09/2022
FAQ| C. Definitions
C5. When should the value ‘O’ (Market Making) be used for accountHolderType?
08/09/2022
FAQ| Q. Customer and Account Information
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?
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
08/03/2022
Event
Part 2: Full CAIS Error Repairs, Corrections and Material Inconsistencies (August 3, 2022)
08/02/2022
Reference Material
CAT LLC- Q3 2022 Financial and Operating Budget

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