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Planned Full CAIS Technical Specification Update

​Last Updated: 05/23/2022

# Status Summary Publish Date Spec Version Effective Date -Test Effective Date Prod
1 Published Add a new fdidEndReason value of 'INACTIVE' as option to end FDIDs that have had no CAT-reportable activity events (e.g., MENO, MEOR, MEOT, etc.) associated with the Account in the prior six months. For the purposes of periodic refresh requirements, monthly refresh report excludes any FDID with an fdidEndReason of 'INACTIVE' populated and an fdidEndDate set on or before the date of the report. 03/09/2022 2.0r7


2  Published Add an additional foreignTIDType value of an other government assigned identifier (“OTHGOVT”) that is known to have been assigned by a non-national level government entity, such as a local government entity. The OTHGOVT foreignTIDType will be added as the last entry in the Foreign TID Type hierarchy, after “DRIVERLICENSE,” and will be usable for both Natural Person and Legal Entity CAT Customers. 04/08/2022 2.0 r8 6/13/2022 6/27/2022
3  Published 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. 04/08/2022 2.0 r8 5/25/2022 6/13/2022
4 Open Update the description of Error Code 22523 – Customer Record rejected because an associated FDID was rejected – to include that the Error Code is also returned in the event the Customer Record is not associated to at least one FDID within the submission file. TBD 2.0 r10 N/A N/A
5 New-Open Update the October 11, 2022 date in the description of the role value of ‘AUTH3RD’ to be consistent with revised FAQ T7. Specifically, Prior to January 16, 2023, this role may be used when the Industry Member itself has authority to place orders for the Account without prior approval of the account holder(s) and is not the holder of the account. Effective January 16, 2023, the role for the Industry Member must be reported as ‘AUTHREP’.  TBD 2.0 r10 N/A N/A
6 New-Open Clarify the description of the customerType value of ‘RIC’- Customer is a Registered Investment Company, as defined in the Investment  Company Act of 1940 (15 U.S.C. § 80a–3(a)(1)), if maintained in the Industry Member’s general customer and account records. TBD 2.0 r10 N/A N/A


*Planned Technical Specification Updates are subject to approval by the CAT NMS Plan Operating Committee.