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The Guide to the Consolidated Audit Trail

The aggressive goals of the Consolidated Audit Trail (CAT) warrant a proactive approach
to compliance preparations. In addition to anticipating the implications of the regulation
itself, planning for the CAT should also account for the expanding data infrastructure
requirements foreshadowed by the global regulatory landscape.

Beyond expanding data infrastructure for reporting to CAT, acquiring historical
recordings for auditing will limit risk and headache long-term. Analyzing recordings for
best execution instills confidence in both compliance and trading strategy teams, while
comparing them to internal trade data during trade performance analysis delivers even
greater value for the trading team. This cross-functional outlook on historical market
data resources can help stakeholders better prepare for compliance and enable
market-wide analyses.

This guide overviews these elements of compliance and analysis to provide stakeholders
throughout your firm an outline to prepare for upcoming regulation and facilitate
proactive market-wide analyses.




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