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Monthly CAT Update (May 15, 2025)
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08/11/2022
FAQ
Q45.
FAQ Q44 states that an Industry Member must report all addresses at the Customer-level and Account-level if such address information is reasonably available. If an Industry Member happens to maintain multiple addresses for an Account and/or Customer, that are not directly used for routine account and/or customer communications, are they still required to be reported to CAIS?
Topics
Q. Customer and Account Information
08/11/2022
FAQ
Q54.
Starting with the implementation of Phase 2e (Full CAIS), Industry Members must report one mailing address associated to the FDID in the ‘ADDRESS1’ value of the addrType field. If an FDID is based on a relationship that represents multiple customers with different addresses, and the Industry Member does not store an address for the relationship, but maintains the addresses at the customer level, what address should the Industry Member report to CAIS for ‘ADDRESS1’?
Topics
Q. Customer and Account Information
08/11/2022
Event
CAIS Industry Testing Checkpoint Call (August 10, 2022)
CAIS Industry Testing Checkpoint Call (August 10, 2022) - Presentation
SIFMA Industry Testing Checkpoint Call (August 10, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
08/10/2022
Governance
Exemptive Request Letter Related to LTID Reporting
08/09/2022
FAQ
C5.
When should the value ‘O’ (Market Making) be used for accountHolderType?
Topics
C. Definitions
08/09/2022
FAQ
U16.
Are accounts maintained by a clearing firm that are owned or controlled by another broker-dealer considered “customer” accounts for purposes of reporting Allocation Reports to CAT?
Topics
U. Allocations
08/09/2022
FAQ
Q50.
Is a Global Intermediary Identification Number (“GIIN”) an accepted identifier to generate a foreignTIDType for a foreign legal entity?
Topics
Q. Customer and Account Information
08/09/2022
Event
CAT Technical Specification Working Group - August 9, 2022
CAT Technical Specification Working Group (August 9, 2022) - Presentation
Audio file
Topics
A. General
B. Reporting Requirements
08/09/2022
FAQ
Q64.
When a clearing firm is optionally reporting allocations to an account that is owned or controlled by an introducing broker/correspondent, what value should the clearing firm populate in the accountType field for the related FDID Record?
Topics
Q. Customer and Account Information
08/04/2022
Event
CAIS Industry Testing Checkpoint Call (August 3, 2022)
CAIS Industry Testing Checkpoint Call (August 3, 2022) - Presentation
Audio file
Topics
P. Feedback and Error Correction
Q. Customer and Account Information
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