May an Industry Member leverage a previously established Reporting Relationship for CAIS? For example, if an Industry Member has already authorized a submitter to report transaction data to CAT, must that Industry Member also authorize the same submitter to report data to CAIS?
Because all CAIS data is maintained separately from transaction data for data security reasons, Industry Members are required to establish separate Reporting Relationships for CAIS. It is acceptable to have relationships with the same party for both CAT transaction data and CAIS; however they are separate relationships and will need to be separately established. CAT CAIS Reporting Relationships must be established to authorize another CAT Reporting Agent to submit on a firm’s behalf. Relationships must be established prior to any data submissions to the CAT CAIS Reporter Portal.
Firms transmitting data on their own behalf are not required to establish a relationship for themselves.
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Yes