CAT CAIS Compliance

Automate Consolidated Audit Trail (CAT) CAIS submissions, real-time validations, and error remediation workflows. EQube reduces manual effort and minimizes late or inaccurate CAT filings.

• Automated CAIS data extraction, transformation, and submission to FINRA CAT.
• Real-time validation against CAT technical specifications before submission.
• Error identification, root cause analysis, and correction workflows.
• Daily submission status monitoring and exception reporting.
• Supports all CAIS record types including customer, account, and associated person records.

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