Skip to main content
  • FAQs Last Updated:

Are back-up circuits required for reporting to CAT via SFTP?

Are back-up circuits required for reporting to CAT via SFTP?

There is no requirement to install a back-up circuit. Several different scenarios may apply, as follows:
If a broker-dealer experiences a short-term outage, for instance an internal network goes down during the day and the broker-dealer is unable to transmit before the deadline, the broker-dealer should note the outage in its books and records and transmit as soon as possible. In addition, it is recommended that a case be opened with the CAT Help Desk so that there is a record of the outage.