UnaVista Aims at CAT

UnaVista unveils new CAT service to help US firms prepare data ahead of go-live


  • Accelerator tool enables broker-dealers to manage their first wave of Consolidated Audit Trail reporting demands
  • Recent webinar polling shows over 50% of industry has not yet started their CAT data preparation
  • Self-Regulatory Organizations (SROs) are required to submit data to SEC starting November 15


October 25, 2017 – NEW YORK – UnaVista, London Stock Exchange Group’s (LSEG) hosted platform for regulatory reporting, reference data and analytics, today announced it is releasing a suite of services to help the industry meet the upcoming Consolidated Audit Trail (CAT) regulation transaction reporting deadlines. Replicating the successful technology used to help firms with EU legislation such as MiFID II and EMIR, UnaVista has designed a series of services to support the efforts of broker-dealers to get their systems, data and reporting fully compliant with the SEC Rule 613 (CAT) regulatory mandate.


The UnaVista CAT Accelerator tool is the first phase release, a fully audited data management solution generating a series of gap analysis reports that dictate the percentage readiness of a firm’s input data inline with the CAT reporting obligation. In a recent survey conducted during the October 4 UnaVista webinar, ‘RegTechExchange: Mobilizing for the CAT’, more than half of those surveyed said they had yet to start their CAT data reporting analysis.


Maryse Gordon, Senior Pre Sales and Business Development Manager of UnaVista, said:

“We know from experience of helping firms with regulations such as MiFID II and EMIR that one of the most difficult aspects of compliance is the collection and organization of a firm’s data sources. Our UnaVista  CAT Accelerator assists firms with this aspect of preparation by allowing them to import sources gradually, helping them to compare against the specification and identifying any gaps. This service was extremely valuable for clients when preparing for other regulations so we look forward to helping firms prepare for this new U.S. requirement using our first service offering.”


About UnaVista

UnaVista has extensive global experience in developing regulatory reporting solutions, and its regulatory reporting platform is currently assisting thousands of firms around the globe in reporting billions of transactions a year to regulators. UnaVista offers a range of business solutions through one interface to help clients become more efficient and reduce operational and regulatory risk across all asset classes.  UnaVista regulatory solutions include the award-winning EMIR Trade Repository and MiFID II Approved Reporting Mechanism (ARM) as well as Shareholding Disclosures/Beneficial Ownership services.  For more information, visit www.unavista.com.


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