Sharpening the Axe: 3 Steps Broker-dealers Should Take Now to Prepare for CAT
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The industry timeline for implementing the consolidated audit trail (CAT) is underway. For U.S. broker-dealers to be ready for the first go-live phase, they will need to start phase 2a industry testing in August 2019 and complete it by November 2019.
The following timeline and checklist will help you stay ahead of critical CAT deadlines.
Select a provider
Begin internal testing
End internal testing
Begin Phase2a industry testing
Complete Phase2a industry testing and first go-live of CAT