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CAT CAIS Open Issues List (Full CAIS)

​Last Updated: 05/18/2022

Additional Releases (Full CAIS)

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment Targeted Release Date/Workaround Area
1 Open  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 Low Fix: 5/25/2022 Fix: 6/13/2022 Manual Form Submission
2 Open 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 Low Fix: 5/25/2022 Fix: 6/13/2022 Reporter Portal
3 Open N/A Count of FDIDs or CAT Customers processed do not match the count of FDIDs or CAT Customers in the submission file when 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 Medium Fix: 5/25/2022 Fix: 6/13/2022 Data Validation
4 Open N/A Data file submissions intermittently display on the Reporter portal as in progress and completed simultaneously. Code Release Low

Fix: 5/25/2022

Fix: 6/13/2022 Reporter Portal
5 UPDATED – Open
 
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 High Deployed on 5/4/2022
 
Fix: 5/18/2022 Data Ingestion
6 NEW – Open
 
N/A
 
Nightly inconsistencies feedback files are generated but do not contain the identified Impacted inconsistencies for the day.

 
Code Release High Fix: 5/25/2022
 
Fix: 6/13/2022
 
Inconsistencies
 
7 NEW – Open
 
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 Boolean null. 
 
Code Release
 
High Fix: 5/25/2022
 
Fix: 6/13/2022
 
Data Validation
 

 

CAT CAIS Planned Enhancements - Open (Full CAIS)

​Last Updated: 05/18/2022

 # Status Error Code Summary Resolution Priority Test Environment Targeted Release Date/Workaround Production Environment 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: 7/11/2022 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: 7/11/2022 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: 7/11/2022 Reporter Portal
4 Open N/A Update SFTP feedback file to include “CANCELLED_BY_SUPPORT”status.  Code Release Medium Fix: 5/25/2022 Fix: 6/13/2022 Reporter Portal

 

CAT CAIS Closed Issues List

​Last Updated: 05/18/2022

 # 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

 

CAT CAIS Planned Enhancements - Closed

​Last Updated: 05/18/2022

 # 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