Leveraging its best in class risk and compliance software platforms and industry knowledge, AxiomSL is bidding on the SEC’s RFP for Rule 613 – Consolidated Audit Trail System (CATS). The system will serve as the central repository of all equity and options trading activity in the US.
“A consolidated audit trail that accurately tracks orders throughout their lifecycle and identifies the broker-dealers handling them will provide us with an unprecedented ability to effectively oversee the markets we regulate.” Mary Shapiro, Chairman of the SEC
The system will receive, process and load over 50 billion records resulting in approximately 10 terabytes of data per day, and is expected to grow to over 12 petabytes of data over 5 years.
- Expertise in large scale regulatory and compliance data ingestion, processing, and presentation;
- Proven success in delivering transparency and integrity;
- Flexible technical solution to satisfy all current CATS requirements and future amendments;
- Project team with broad and extensive regulatory experience and industry knowledge.
AxiomSL will soon be announcing strategic partnerships with best in class solution providers for the CATS RFP response and bid.
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SEC Press Release
AxiomSL is a global leader in risk management and regulatory reporting solutions. Basel III regulations, Form PF, Solvency II, liquidity, market and credit risk management and transparency are new rules where AxiomSL empowers clients with a cost-effective operational platform to monitor risks and regulatory reporting requirements. Top financial firms use our Solutions; RiskMonitor® for risk management and ControllerView® for regulatory reporting, serving global jurisdictions. Our dynamic data management platform integrates seamlessly with your technical environment in a matter of weeks. AxiomSL’s product line provides an end-to-end solution to comply with all regulatory requirements.