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A-Team Insight Webinars

Recorded Webinar: Data Management for CAT reporting

17 May 2018

The Consolidated Audit Trail (CAT) conceived by the US Securities and Exchange Commission (SEC) in the wake of the 2010 Flash Crash has been a long time in the making, but is now approaching go live with large broker-dealers expected to begin reporting trades in November 2018. The webinar will detail CAT data requirements, review data management problems and solutions, and discuss potential benefits of the CAT for regulators and market participants within its scope. It will also touch on similar initiatives in other jurisdictions.

Listen to the webinar to find out about:

  • CAT requirements
  • The implementation timeline
  • Data management challenges
  • Approaches to reporting
  • Technology solutions

Speakers:

Joshua Beaton Head of Non-Financial Regulatory Reporting (NFRR)
Wells Fargo
Tom Jordan CEO
Jordan & Jordan
Dermot Harriss Senior Vice President – Regulatory Solutions
OneTick
Moderator: Sarah Underwood Editor
A-Team Group

More about our speakers:

Joshua Beaton

Head of Non-Financial Regulatory Reporting (NFRR)

Wells Fargo

Josh is an Executive Director at Wells Fargo where he manages the NFRR (non-
financial regulatory reporting) team. Previously he spent 13 years at Morgan Stanley in a number of roles including managing the firm’s NA TTRO (trade and transaction reporting operations) team and serving as the ISG Product Operations COO. Josh also worked in line and project roles in derivative operations at Goldman Sachs and Barclays Capital.

Before joining the financial services industry, Josh worked for 5 years as a developer at dot-com startups in New York and Boston. Josh earned a BS in Psychobiology from Yale University in 1997 and an MBA from NYU Stern School of Business in 2004. His extracurricular activities include serving as Treasurer and a board member of Geeks Rule, a non-profit dedicated to increasing STEM education access in underserved communities. He and his wife have two children and live in Connecticut.

Dermot Harriss

Senior Vice President – Regulatory Solutions

OneTick

Dermot Harriss joined OneMarketData in 2015, and is responsible for delivering solutions that help firms meet their regulatory compliance needs. Mr. Harriss brings over twenty years of financial industry experience from roles involving futures trading, quantitative strategy development, derivatives risk management, program trading, execution services, and technology management.

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