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CAT CAIS Open Issues List (Full CAIS)

​Last Updated: 09/28/2022

Additional Releases (Full CAIS)

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production/Production Mirror Environments Targeted Release Date/Workaround Area
1 Open 22041 Instances of CAIS Data feedback containing 22041 errors when the customerRecordID is present in the file on either a Natural Person or Legal Entity customer record, and the same customerRecordID has a malformed TID warning in the CAIS TIDS feedback. A 22048 error is expected instead of the 22041 error. Code Release Medium Fix: 9/19/22 Fix: 10/3/22 Data Validation
2 Open N/A Intermittent instances where feedback file versions are not correctly being generated for a submission. This issue may impact any version of both CAIS Data and TIDs feedback files. This issue also impacts LTID Phase (v1) reporting. Code Release Medium

Fix: 9/19/22

Fix: 10/3/22

Feedback Files
3

Open

N/A Instances when an error occurs for a customer record where the same CAT customer is reported with multiple customerRecordID values, SFTP feedback will include only one of the customerRecordIDs.  The portal feedback will include all customerRecordIDs related to the error. Code Release Medium Fix: TBD

Workaround: All affected customerRecordIDs are displayed within the CAIS Reporter Portal UI.

Fix: TBD

Feedback Files
4 Open N/A Within the CAIS Reporter Portal Submission Report, counts of customer records repaired and outstanding are counted by TID rather than customerRecordID. Repaired and outstanding rejections counts may not match the count of records rejected. Code Release Low Fix:9/19/22 Fix: 10/3/22 Submission Report
5 Updated -Open  N/A The 365-day grace period is currently only provided for ‘IMPACTED’ inconsistencies. This fix will apply the grace period to ‘TRIGOTHER’ inconsistencies as well. Code Release High Fix: 10/31/22

Fix: 11/07/22

Inconsistencies
6 Open N/A The customerRejectionEventID conditional attribute within the CAIS Data Feedback File is not present for rejections against customer records. Code Release Low Fix: TBD Fix: TBD Feedback Files
7 Open N/A High volumes of Rejections and Inconsistencies may result in a time-out on the UI before being displayed to the user. Limiting the number of Rejections and Inconsistencies available in the UI is under analysis. Code Release High Fix: TBD Fix: TBD Reporter Portal
8 Open N/A Timestamps in the Nightly Inconsistencies Feedback File are in ISO format (e.g., 2022-08-01T23:29:29.971Z) instead of the Timestamp format prescribed in the CAIS Technical Specifications. Code Release High Fix: 9/19/22 Fix: 10/3/22 Inconsistencies
9 Open N/A The reporterCRD attribute within the Nightly Inconsistencies Feedback File is being output as a String data type instead of Unsigned. Code Release High Fix: 9/19/22 Fix: 10/3/22 Inconsistencies
10 Open N/A Instances of rejections and inconsistencies not being repaired due to database load backlog. Code Release High Fix: 9/19/22 Fix: 10/3/22 Error Repairs and Inconsistencies
11 Open N/A Duplicate rows are present in the downloaded file when downloading the Rejections table from the Reporter UI. Code Release Low Fix: TBD Fix: TBD Reporter UI
12 Open

22041
22042
22526

Incorrect error codes produced (22041, 22042) when a customerRecordID has an entry in the CAIS Data File but no entry in the TIDs File. 22526 is expected to be returned in this scenario. Code Release Medium Fix: 9/19/22 Fix: 10/3/22 Feedback Files
13 Open N/A Files containing more than 6 Million total records (FDIDs + CAT Customers) may not return feedback in the times specified within the Full CAIS Technical Specifications. Code Release Medium Fix: TBD Fix: TBD Feedback Files
14 Open N/A In the event a correction or deletion within the correctionList is rejected, the failedRejectionID attribute is missing from the CAIS Data Feedback file. Code Release
 
High Fix: 9/19/22 Fix: 10/3/22 Feedback Files
15 Open N/A The /reports directory is not being made available via SFTP in the Industry Test environment, and the FDID Version Report cannot be posted. Code Release Medium

Workaround: Access the FDID Version Report from within the CAIS Reporter Portal UI. Reports containing more than 200,000 FDIDs cannot be downloaded from the UI.

Fix: 9/19/22

Fix: N/A Reports
16 Open 
 
22044
 
Intermittent instances of CAIS Data files resulting in an INCOMPLETE_PROCESSING_ERROR status when the file contains FDID records with associations to more than one customer, and at least one of the associations does not have a populated roleStartDate. Code Release High Fix: 9/19/22 Fix: 10/3/22 Data Validation
17 Open 23004, 23005, 22503, 22525 Instances of rejections being erroneously produced due to database ingest backlog. Code Release High Fix: 9/19/22 Fix: 10/3/22 Error Repairs and Inconsistencies
18 Open N/A Unable to retrieve the FDID Reconciliation Report. Code Release Medium Fix: 9/19/22 Fix: 10/3/22 Reports
19 Open N/A Intermittent instances where the CAIS data feedback file does not include all the feedback stages in statusHistory. Code Release Medium Fix: TBD Fix: TBD Feedback Files
20 Open 30002,
30003,
30004
Nightly inconsistencies feedback and sentinel files are not being generated in the Test and Production Environments. As a result of this issue firms are not able to access the inconsistency feedback SFTP folders. Code Release High Fix: 9/19/22 Fix: 10/3/22 Inconsistencies Feedback Files
21 Open N/A Triggered Inconsistencies are not appearing in Inconsistencies screen and the counts are not being displayed in the Submission Report as well as the Completed Submissions screens. Inconsistencies feedback file is not impacted by this issue. Code Release Medium

Fix Inconsistencies Screen: 9/22/2022

Fix Statistics Screens: TBD

Fix Inconsistencies Screen: No impact to Release 4 currently in Prod

Fix Statistics Screens: TBD

Reporter Portal
22 Open 22523
22048
FDID and Customer Errors identified during processing may not include the related error codes 22048 and 22523. Related feedback and statistics are impacted.  Code Release Medium Fix: 9/22/2022 No impact to Release 4 currently in Prod Data Validation
23 Open 24001
24005
Correction attempt with a rejectionID unknown to CAIS generates an incorrect warning of 24005 instead of 24001. Code Release Low Fix: TBD No impact to Release 4 currently in Prod Data Validation
24 Open N/A User is presented with the “Error Loading Data: OK” error on the Rejections screen. However, the 
user is able to see the rejections data if any filter value is applied.
Code Release Low Fix: 9/22/2022 No impact to Release 4 currently in Prod Reporter Portal
25 Open N/A FDID Version Report includes FDIDs that have been previously ended. Code Release Low Fix: TBD Fix: TBD Reports

 

CAT CAIS Planned Enhancements - Open (Full CAIS)

​Last Updated: 09/28/2022

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production/Production Mirror Environments Targeted Release Date/Workaround Area
1 Open N/A The Update button on a Manual Form Submission is enabled when viewing a previously added record. The button should be disabled until at least one field is updated by the user. Code Release Low Fix: TBD Fix: TBD Manual Form Submission
2 Open N/A

When selecting date values in the Manual Form Submission, the date is not selected when the user first clicks a date. The date is only selected on the second click.

Code Release Low Fix: TBD Fix: TBD Manual Form Submission
3 Open N/A Certain columns are not displayed in the Submission Report by default. Code Release Low

Workaround: User may add the columns to their view.

Fix: TBD

Fix: TBD Reporter Portal
4 Open N/A For both TRIG-SELF and TRIG-OTHER inconsistencies, the materialInconsistencies count within the Submission Inconsistencies Feedback File is 1 (e.g., "30003:1"). The count will be updated to 0 for TRIG-SELF inconsistencies and 1+ for TRIG-OTHER inconsistencies. Code Release Low Fix: 9/19/22 Fix: 10/3/22 Feedback Files

 

CAT CAIS Closed Issues List

​Last Updated: 09/28/2022

 # Status Error Code Summary Resolution Priority Targeted Release Date Area
1 Closed N/A
 

Defining a customer reporting relationship without an expiration date causes all users for the CAT Submitter firm to no longer be able to login to CAIS.

Code Release

Complete

11/9/20- Test

N/A- Prod

Reporter Portal

2 Closed N/A Feedback File - absent fields:
  • ‘receivedCorrectionActionCount’
  • ‘successfulCorrectionActionCount’
  • ‘version’
Code Release Complete

11/9/20- Test

N/A- Prod

Reporter Portal
3 Closed 21010 Submission file naming convention does not allow <Group>. Generates ‘File Integrity Error’ response Code Release Complete

11/9/20- Test

N/A- Prod

Reporter Portal
4 Closed N/A Null value in CAT Reporter Organization Name reporting relationship generates not-null exception & terminates file submission.  Code Release Complete

11/23/20- Test

N/A- Prod

Reporter Portal
5 Closed N/A CAIS Technical Specifications schema discrepancy regarding field: ‘firmDesignatedID’. Alphanumeric (current) vs Text String (intended) to allow for ASCII chars. Code Release Complete

12/6/20- Test

N/A- Prod

Reporter Portal
6 Closed N/A Leading (padded) zeroes within numeric JSON attribute cause parsing error after file validation – submission does not reach COMPLETED state.  Code Release Complete

12/6/20- Test

N/A- Prod

Reporter Portal
7 Closed N/A Feedback file contains errant field (not included in Tech Spec): "firmRecordID" - should be named "fdidRecordID". Code Release Complete

12/6/20- Test

N/A- Prod

Reporter Portal
8 Closed N/A Unhandled Exception: Attempt to submit 0 byte submission file causes validation engine exception. Intended behavior is for validation engine to invalidate file and notify user of the issue.  Code Release Complete

1/31/21

Reporter Portal
9 Closed N/A File submission sporadically terminated due to incompatible arrangement of compressed submission file contents. Code Release Complete

2/7/21- Test

2/14/21- Prod

Reporter Portal
10 Closed N/A Submissions not processing correctly due to a missing date in Reporter/Submitter relationship. This only impacted CT for a day and will not impact Prod as it was introduced during the 1.1.4 CT deployment. The 1.1.4 Prod deployment has been updated to not cause this issue. Code Release Complete

3/1/21- Test

N/A- Prod

Reporter Portal
11 Closed 22020 Errant "largeTraderRecordID“ in feedback file and should not be when error code associated to FDID. Code Release Complete

2/28/21- Test

3/14/21- Prod

Reporter Portal
12 Closed N/A Errant 'expiration date' in one or more CRD reporting relationships - CAIS file validation terminates - unable to parse relationship data Code Release Complete

2/28/21- Test

3/14/21- Prod

Reporter Portal
13 Closed N/A Feedback file – misalignment. FailedCorrectionItem is currently paired with rejectionID. This should be paired with failedRejectionID. Code Release Complete

12/6/20- Test

12/13/20- Prod

Reporter Portal
14 Closed N/A TypeError when submission file contains a decimal in an integer field. This should result in a data-type error. Code Release Complete

2/28/21- Test

3/14/21- Prod

Reporter Portal
15 Closed N/A CRD Dropdown in CAIS Reporter Portal doesn’t allow scrolling for a large list. Code Release Complete 3/14/21 Reporter Portal
16 Closed 21006 Rejection Report CSV: Downloadable rejection report contains errant record set for file integrity error 21006. Expected behavior is file integrity errors do not populate rejection report CSV download.  Code Release Complete

2/28/21- Test

Prod- 3/14/21

Reporter Portal
17 Closed 23007 If a firm attempts to clear the end date using ltidEndDate: NULL and set a new ltidEffectiveDate in the same submission, they will receive an integrity error. Code Release Complete

3/28/21- Test

4/11/21- Prod

Reporter Portal
18  Closed 21020 Invalid Submission File extension causes submission to stall. Should return integrity error. Code Release Complete

3/28/21- Test

4/11/21- Prod

Reporter Portal
19  Closed N/A Missing attributes in certain versions of feedback file; should be present in all versions (“receiptTimestamp” and various “Count” attributes). Code Release Complete

4/11/21- Test

4/25/21-Prod

Reporter Portal
20  Closed N/A Unexpected response occurs when submitted "reporterCRD" value exceeds numeric limit; should return invalid CRD error. Code Release Complete

4/11/21- Test

4/25/21-Prod

Reporter Portal
21  Closed N/A If a firm submits using an invalid FDID type, the submission will not process successfully. Code Release Complete 4/25/21 Reporter Portal
22  Closed 21006 Error occurs when sequence of read, delete, insert functions happen out of order during parallel file processing. Code Release Complete

4/11/21- Test

4/25/21-Prod

Reporter Portal
23 Closed N/A If a user uploads 2 files with the same file name in rapid succession, the first submission can get stuck. The second one will successfully process. Code Release Complete 5/23/21 Reporter Portal
24 Closed N/A If a user presses the reset button on the manual submission screen in the CAIS Portal it will clear out the fdidRecordID. Code Release Complete 5/23/21 Reporter Portal
25 Closed N/A If a firm submits a file using a large number of duplicate fdid record ids, it can cause the submission to get hung up and not finish processing. Code Release Complete 6/20/21 Reporter Portal
26 Closed 23001 Attempting to reactivate a previously ended FDID by clearing the stored fdidEndDate (fdidEndDateNULL: ‘true’), and updating the fdidDate with a date value greater than the previously stored fdidEndDate in the same submission file, generates an errant data validation error.  Code Release Complete 8/29/21 Reporter Portal
27 Closed N/A Duplicate FDID rejections only showing one rejection to be repaired.  Rejected counts will be greater than repaired + outstanding when this occurs. Code Release Complete 8/29/21 Reporter Portal
28 Closed N/A Outstanding Record count and Repair count are greater than total number of rejected records in the submission report If there are duplicate FDIDs coupled with other errors on the FDID. Code Release Complete 1.2.6 Deployment - 9/26/21 Reporter Portal
29 Closed N/A Submission files may not complete processing if they include an FDID that was previously accepted in an LTID Phase submission with one or more LTIDs, and is reported in the Full CAIS Phase submission with the exact same LTIDs. Code Release Complete

2/27/2022- Test

N/A- Prod

Data Validation
 
30 Closed 22062
22063
Field length validation on primeBrokerID and bankDepositoryID erroneously rejects records if the value is not the exact length. Each attribute should allow values up to the stated length, rather than expecting that exact length. Code Release Complete

2/27/2022- Test

N/A- Prod

Data Validation
31 Closed 22531 Legal Entity CAT Customers are rejected for not having a populated LEI, even when the customer is not reported with a foreignTIDType of LEI. Code Release Complete

2/27/2022- Test

N/A- Prod

Data Validation
32 Closed 22900 Rejections for a malformed TID record are erroneously included in the Submission Feedback file with an error code of 22914 rather than 22900. These rejections are not able to be repaired by resubmission of the same CAT Customer, which is not accepted for rejections of error code 22914. Code Release Complete

2/27/2022- Test

N/A- Prod

Submission Feedback
33 Closed 21014 The CAIS Data file does not proceed to the COMPLETED_FILE_TIMEOUT status when the paired TIDs file is not posted within the 60 minute window, and feedback is not provided that the file has timed out.  Code Release Complete

2/27/2022- Test

N/A- Prod

Submission Feedback
34 Closed N/A The Submission Summary page, displayed when the user finalizes a Manual Form Submission, does not show all fields included in the submission. Code Release Complete

2/27/2022- Test

N/A- Prod

Manual Form Submission
35 Closed N/A Submissions using the Manual Form Submission functionality does not result in the generation of a TIDs file if the user does not include any CAT Customer associations to the FDID. This only impacts firms attempting to test ending an FDID Record. Code Release Complete

2/27/2022- Test

N/A- Prod

Manual Form Submission
 
36 Closed 22042 The Completed Submissions and Submission Reports tables may show incorrect counts for CAT Customers Processed, Accepted, and Rejected when the FDID to which the CAT Customer is associated is rejected for Error Code 22042. Code Release Complete

2/27/2022- Test

N/A- Prod

Reporter Portal
37 Closed N/A Submissions using the Manual Form Submission functionality that include one or more CAT Customer records having a populated Address Record with a Country of US or Canada are rejected for an invalid regionCode.
 
Code Release Complete

2/27/2022- Test

N/A- Prod

Manual Form Submission
38 Closed N/A Intermittent instances of CAIS Data files and TIDs files that are not able to be processed due to improperly formatted data within the file. Files may get stuck in a 'File Acknowledged' state and not properly reach a failed state.  Code Release Complete

3/27/2022- Test

N/A- Prod

Data Validation
39 Closed N/A The Manual Form Submission fields for Correspondent CRD and Prior CAT Reporter CRD are only allowing selection from the CRDs with which the firm has a submission relationship. The fields should allow all valid CRDs. Code Release Complete

3/27/2022- Test

N/A- Prod

Manual Form Submission
40 Closed 23999 OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Complete

3/27/2022- Test

N/A- Prod

Submission Feedback
41 Closed 22503 If a CAT Customer submission is rejected for error code 22503 - including the updateNotification as true for the first submission of a CAT Customer - the record is listed with both 22503 and 22523 - indicating the CAT Customer is rejected because the FDID is rejected. Only 22503 should be listed. While two error codes are generated, only one error is included in statistics. Code Release Complete

3/27/2022- Test

N/A- Prod

Submission Feedback
42 Closed N/A Legal Entity Material Inconsistencies are not included in the Nightly Scans Feedback for Impacted firms when the other Industry Member has resolved their Material Inconsistency. Code Release Complete

3/27/2022- Test

N/A- Prod

Material Inconsistencies
 
43 Closed N/A The Inconsistencies table shows duplicated Material Inconsistencies in some instances. Display only-issue: Only one Material Inconsistency is included in the submission feedback. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
44 Closed N/A In certain instances, the Submission files status may be listed with a status of 'Completed - With Rejections' when there are no rejections against the file. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
45 Closed N/A Downloads of the Completed Submissions and Submission statistics from the Reporter Portal do not include the Triggered Inconsistencies, Late Repairs, or Outstanding Inconsistencies columns. Statistics are displayed in the Reporter Portal UI. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
46 Closed N/A Processed and Repaired record counts within the Completed Submissions data table within the Reporter Portal may not match the count of records included in the file. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
47 Closed N/A Users in the Reporter Portal UI are not able to download the Nightly Inconsistencies Report. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
48 Closed 22048 EIN starting with “00-” fails validation due to range validation rules.  Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
49 Closed N/A Submission files are not processed to completion when one or more Address records contain one of the following countryCode values: 
AN - Netherlands Antilles
DJ - Djibouti
DK - Denmark
DM - Dominica
DO - Dominican Republic
IQ - Iraq
LR - Liberia
Code Release Complete

3/27/2022- Test

N/A- Prod

Data Validation
 
50 Closed N/A Submissions of a Natural Person with an “EIN” TID, or a Legal Entity with an “SSN/ITIN” TID, are not being rejected.  Code Release Complete

3/27/2022- Test

N/A- Prod

Data Validation
51 Closed N/A Submission files are not processed to completion when violating schema expectations by including one or more Address records contain a repeated addrType value. Code Release Complete

3/27/2022- Test

N/A- Prod

Data Validation
52 Closed N/A Submission files are not processed to completion when violating schema expectations by including an array attribute (e.g. fdidCustomerList) that is improperly included as an object. Code Release Complete

3/27/2022- Test

N/A- Prod

Data Validation
53 Closed N/A The count of items displayed shows the selected total results per page value, rather than the actual count of items displayed. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
54 Closed N/A Users are not able to select 100 results per page. Additionally, when the user changes the results per page and saves their view, the results per page change is not saved. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
55 Closed N/A The Completed Submissions table does not show the status of the TIDs file. Only the status of the CAIS Data file is displayed and included in the export. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
56 Closed N/A Nightly Inconsistencies Report link within the Inconsistencies tab of the Reporter Portal does not navigate the user correctly to the Nightly Inconsistencies page. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
57 Closed N/A Filter by specific CRD within the Submission Reports does not filter properly for aggregated values.  Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
58 Closed N/A If a user attempts to download a feedback file within the Reporter Portal, they are unable to retrieve the file if it was submitted by another firm on their behalf and said submitter firm has deleted the feedback file. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
59 Closed N/A The Submission Reports overlays that show results by specific CRD does not allow the user to 'unsort' the CRD column. Code Release Complete

3/27/2022- Test

N/A- Prod

Reporter Portal
60 Closed N/A Legal Entity manual submission form displays ‘PERMANENT’ as a selection under Foreign TID Types dropdown.  Code Release Complete

3/27/2022- Test

N/A- Prod

Manual Form Submission
61 Closed N/A Selecting an “Error Identification Date” within the Rejections page of the Reporter Portal may display an “Error Loading Data” message. Code Release Complete

4/10/2022 - Test

N/A- Prod

Reporter Portal
62 Closed 23999 OutOfMemoryError in Submission Engine. When attempting to compile feedback file, submission engine runs out of memory if too many rejections present. Code Release Complete

3/27/22- Test

4/24/22- Prod

Submission Feedback
63 Closed N/A The CAIS Test environment experienced degraded performance late last week, resulting in intermittent inability to access the system and increasing the backlog of files requiring processing. Configuration Changes Complete

5/1/22- Test

N/A- Prod

Environment Access, Data Processing
64  Closed N/A LTID Phase files containing more than 120,000 records are not completing processing when the fdidRecordCount field is placed in the file after the fdidList multi-dimension array. Code Release Complete

5/1/22- Test

5/4/22- Prod

Data Validation
65 Closed N/A Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when a large number of FDID records within a single file each have a large number of data validation errors. Code Release Complete

5/1/22- Test

5/4/22- Prod

Data Validation
66 Closed N/A Intermittent instances of CAIS Data files remaining in a RECORD_SCAN_COMPLETED status for an extended time and not completing processing, when the file contains FDID records that have been previously accepted in to CAIS with a common Customer that has associations to a significant number of FDIDs (1000+), and the new submission file implicitly ends associations to the previously associated Customer. Code Release Complete

5/1/22- Test

5/4/22- Prod

Data Ingestion
67 Closed 22044 Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when the file contains FDID records with associations to more than one customer, and at least one of the associations does not have a populated roleStartDate. Code Release Complete

5/4/22 - Test

5/18/22 - Prod

Data Ingestion
68 Closed N/A In certain cases where multiple records are rejected for a malformed or duplicated FDID, or malformed TID, the multiple rejection instances are counted as a single processed record and rejection, resulting in a lower count of processed records than were in the submission file.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

Data Validation

69 Closed 22061 FDID records are incorrectly rejected when the fdidCustomerList includes records with a role of TRDHOLDER or NTHOLDER and the hasDiscretion attribute is included in the file with a null.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

Data Validation
70 Closed N/A Users are not able to include a correctionList entry in a Manual Form Submission. This impacts error codes 22001 and 22900.  Code Release Complete

5/25/22 - Test

6/13/22 - Prod

Manual Form Submission
71 Closed N/A Submission Report shows more results than the selected records per page when the user changes to a new View Data As perspective. Code Release Complete

5/25/22 - Test

6/13/22 - Prod

Reporter Portal
72 Closed N/A

The following update to the Full CAIS Technical Specifications for Industry Members - v2.0 r8 was published on 4/8/2022 and became effective on 5/25/2022. 

Add a multi-dimensional array on the FDID, called authTraderNamesList, for reporting of Natural Person Authorized Traders where an Industry Member has not historically collected and systematized all data required to report the trader as a Natural Person CAT Customer, and will not be able to collect and systematize the data by July 11, 2022. The Authorized Trader Names List must only include Natural Person Authorized Traders, where the IM does not have all data required to report the Authorized Trader as a full CAT Customer record.

Code Release Complete 

5/25/22 - Test

6/13/22 - Prod

Planned Full CAIS Technical Specification Update 
73 Closed N/A Data file submissions intermittently display on the Reporter portal as in progress and completed simultaneously. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal
74 Closed N/A Some nightly inconsistencies feedback files may be null or may not contain the identified Impacted inconsistencies for the day. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Inconsistencies
 
75 Closed N/A Counts of Customers and FDIDs in submission file do not match the receivedFDIDRecordCount, receivedNaturalRecordCount, or receivedLegalEntityRecordCount attributes in the CAIS Data Feedback File when records are rejected due to a malformed/duplicated FDID or malformed TID. Code Release
 
Complete

6/26/22 - Test

7/1/22 - Prod

Data Validation
 
76 Closed N/A

Submission files transitioned to a COMPLETED_FILE_TIMEOUT state due to one of the intended paired files failing Integrity check, not being submitted in a timely fashion, or failing unexpectedly, display errantly on the In Progress tab within the Reporter Portal UI. 

Expected behavior is the timed out file moves to the Completed Submissions tab. COMPLETED_FILE_TIMEOUT feedback is available for the submission file on the SFTP site.

Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal 
77 Closed N/A Intermittent instances of CAIS Data files remaining in a FILE_INTEGRITY_PASSED status for an extended time and not completing processing, when the same CAT Customer is reported with multiple customerRecordID values, one for each association to the FDID Record, when reporting via Option 2 in Scenario 3.5.1.     Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Data Ingestion
78 Closed N/A Users from Self-Reporter firms are not able to access the Customer Rejections tab within the Reporter Portal. Attempting to access the page returns an error indicating the user is “Not authorized for requested CRD”. Code Release Complete

6/13/22 - Test

7/1/22 - Prod

Reporter Portal
79 Closed N/A The correspondentCRD attribute is incorrectly named catCorrespondentCRD within the Submission Inconsistencies Feedback File. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Reporter Portal
80 Closed N/A Instances of files failing to complete processing when a large number of updateNotifications are included in the file. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Data Validation
81 Closed N/A Instances of the Submission Report showing a file as “Processing” when the file has completed processing and processing feedback has been published. Code Release Complete

6/29/22 - Test

N/A - Prod

Reporter Portal
82 Closed N/A

The following update to the Full CAIS Technical Specifications for Industry Members v2.0r8 was published on 4/8/2022 and the effective date became 7/1/2022.

Added additional foreignTIDType value of  OTHGOVT.

Code Release Complete

6/27/22 - Test

7/1/22 - Prod

Full CAIS Specifications Update  
83 Closed N/A Instances of an LTID Phase submission file not completing processing and remaining in a RECORD_SCAN_COMPLETED as a result of an error in the handling of the Submission ID. The feedback file available on the SFTP will contain any identified rejections, however the final transition to the Completed state is not received. Code Release Complete

6/8/22 - Test

7/1/22 - Prod

Data Validation
84 Closed N/A Some rejection repairs are not properly reflected in the Submission Report information. This also impacts statistics in the monthly Report Card. Code Release Complete

6/26/22 - Test

7/1/22 - Prod

Data Validation & Report Cards
85 Closed N/A The Transformed Identifiers (TIDS) feedback files for the Test environment have not been generated and posted to the SFTP as expected from the evening of 6/30 through 7/6. Files will be generated and posted for these prior submissions. Code Release Complete

7/6/22 - Test

N/A- Prod

Data Validation
86 Closed N/A Counts of customer records received and successful in the CAIS Data Feedback file are reconciled to a count of unique TIDs, rather than the count of customerRecordID values in the file. This also occurs for the count of Customer records Processed, Accepted, and Rejected displayed within the CAIS Reporter Portal on the Completed Submissions and Submission Report. Code Release Complete 

7/12/22 - Test

7/15/22 - Prod

Feedback and
Reporter Portal
87 Closed  N/A Intermittent instances where not all TIDs feedback file versions are being generated for a submission. Final feedback is provided including all status transitions, however one or more feedback file versions are missing. Code Release Complete
 

7/31/22 - Test

8/13/22 - Prod

Data Validation
 
88 Closed N/A Large files containing over 15 million records failed to complete processing. Code Release Complete

7/31/22 - Test

8/13/22 - Prod

Validation
89 Closed  22042 A single customer cannot currently have a new role which starts on the same date that a previous role was ended.
 
Code Release
 
Complete
 

7/31/22 - Test

8/13/22 - Prod

Validation
90 Closed N/A The inconsistencyEventID attribute within the Submission Inconsistencies Feedback File is not present for any inconsistency. However, this attribute is present within the CAIS Reporter Portal UI. Code Release Complete

8/11/22 - Test

8/13/22 - Prod

Feedback Files
91 Closed N/A Files containing postalCode values that are not set as string data types do not result in the record being rejected but instead transition to an Incomplete Processing Failure status.
 
Code Release Complete

8/11/22 - Test

8/13/22 - Prod

Validation

 

CAT CAIS Planned Enhancements - Closed

​Last Updated: 09/28/2022

 # Status Error Code Summary Resolution Priority Targeted Release Date Area
1 Closed 22013

CAT CAIS will accept alpha characters in largeTraderRecordID field for ULTID records.

For ULTID records, the identifier must start with ‘ULT’, followed by alphanumeric [0-9A-Z] characters for the fourth through eighth positions, followed by a dash, followed by four alphanumeric [0-9A-Z] characters. (e.g., ULTXXXXX-XXXX)

Code Release

Complete

3/1/21- Test

3/15/21-Prod

Ingestion Validations

2 Closed 22025
22026
22027
23002
23003
The noted error codes were deprecated in the LTID Technical Specification published on 3/23, as part of the LTID date validation relaxation. The relaxed validation functionality was not released to the Test Environment until 3/28, and will not be released to the Production Environment until 4/11. During the time period between the publication of the updated Technical Specification and release of the functionality, firms will still receive these errors against their submissions. Code Release Complete

3/28/21-Test

4/11/21-Prod

Reporter Portal / SFTP
3 Closed N/A CAT CAIS will allow SFTP users to delete any files within the feedback directory. This is agnostic of origin for the posted file - SFTP or UI - and may allow firms to delete UI posted files that a user hasn't downloaded the feedback for. This is consistent with the functionality of the Transaction system. Code Release Complete 5/23/21 Reporter Portal / SFTP
4 Closed  N/A CAT CAIS will be adding a sort on CRD for the CRD Selector within the CAIS Reporter Portal UI, so that users can more easily find a specific firm within the list of firms for which they can submit. Code Release Complete 6/20/2021 Reporter Portal
5 Closed N/A Update CAIS Data File properties to change fdidCustomerList multi-dimensional array from Required to Conditional. This change will allow Industry Members to optionally exclude the list from submission when they are ending an FDID record that has previously been accepted in to CAIS with at least one associated CAT Customer. Code Release Complete

3/27/22- Test

4/24/22-Prod

Submission Data File
6 Closed N/A Certain fields in the Manual Form Submission functionality may allow the user to enter characters that would cause a rejection of the submission record - such as including an '@' character within the Firm Designated ID field. Code Release Complete

3/27/22- Test

N/A- Prod

Manual Form Submission
7 Closed N/A User is not prompted with a warning the entered data will not be saved if they attempt to navigate away from the Manual Form Submission page. Code Release Complete

3/27/22- Test

N/A- Prod

Manual Form Submission
8 Closed 23005 Setting a 'Replaced By FDID' value that is the same as the 'Firm Designated ID' value is not prevented within the Reporter Portal. It is not acceptable to set both values the same. Code Release Complete

3/27/22- Test

N/A- Prod

Manual Form Submission
 
9 Closed N/A Update Rejection screen for Submitters to only show rejections for FDIDs that they submitted. Code Release Complete

1/30/22- Test

4/24/22- Prod

Reporter Portal
10 Closed N/A Update SFTP feedback file to include “CANCELLED_BY_SUPPORT” status.  Code Release Complete

5/25/22- Test

6/13/22- Prod

Reporter Portal
11 Closed 23999 Increase the current 100 Customer Record limit on number of CAT Customers that can be associated with an FDID Record. The increased limit will allow 2,000 Customer Records to be associated to the FDID. Code Release Complete

7/31/22- Test

8/13/22- Prod

Data Validation