N. Third Party Reporting
This topic includes information related to the use of a third party to report data to CAT.
Displaying 1 - 8 of 8 results
- FAQN7. If a firm uses a third party CAT Reporting Agent to submit data on its behalf, can the firm satisfy its CAT recordkeeping obligations by having the third party retain the data and provide it upon request?
- FAQN6. If an Industry Member introducing firm uses a third party service bureau’s system, such as an Order Management System, provided by its clearing firm and the third party service bureau transmits data to CAT on behalf of the introducing firm, must there be a reporting agreement between the introducing firm and third party vendor?
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- FAQN5. Are Industry Members that report to CAT using a third-party vendor that submits reportable data to the CAT using a private line connection required to transmit their CAT reportable data to the third party vendor via a private line connection?
- FAQN4. Are there any scenarios where an Industry Member can assume another CAT Reporter will report an order to CAT on its behalf absent any specific reporting agreement between the two CAT Reporters?
- FAQN2. If one or more third parties (e.g., clearing firms) is used by an Industry Member to report data to CAT, who does the compliance obligation belong to if the third-party reporter is also a CAT Reporter?
- FAQN1. Can CAT Reporting Agents report CAT Data to the CAT on behalf of an Industry Member without the Industry Member’s consent?