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About the Event

August 5, 2020 • 10:00 AM EST

Regulators have gotten the Consolidated Audit Trail (CAT) surveillance project off the ground and sell-side firms have started reporting securities transaction data to a big data repository. However, the CAT initiative has hit several stones in the road since its inception. There have been pandemic-related deadline extensions and concerns over the security of the data that firms are sending to exchanges/self-regulatory organizations (SROs).

This conversation will encompass:

  • Complications caused by the COVID-19 pandemic
  • New milestones for CAT reporting in 2020 and beyond
  • Expectations for the project’sQuestions:
  • What are some data security strategies that sell-side firms may need to adopt as they begin shipping sensitive information to the exchanges/SROs?
  • What technologies are facilitating the surveillance aspects of the CAT initiative?
  • What advanced technologies will the regulators apply to the data that is being collected?
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- SecOps Attendee

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