C&L New York Luncheon
SIFMA's Compliance & Legal Society Monthly Luncheons are opportunities to gain insights from influential voices in the compliance and legal…
CAT Industry Conference
Overview
The U.S. Securities and Exchange Commission (SEC) is creating a Consolidated Audit Trail (CAT) that would enable regulators to track all activity throughout the U.S. for listed-equities and options.
On September 16, 2019, SIFMA and Deloitte will host an industry conference in New York City, from 8:00 a.m. to 12:30 p.m., that will describe in detail the reporting requirements and what firms (CAT Reporters) should consider to ensure a successful implementation of the CAT.
The conference will include a Regulatory Perspective and discussions on Technical Specifications and Project Management. Webinar option also available.
Download SIFMA’s recently published Firm’s Guide to the Consolidated Audit Trail, developed with Deloitte.
CAT Industry Conference
A Guide to Implementation
Registration Closed
Overview
The U.S. Securities and Exchange Commission (SEC) is creating a Consolidated Audit Trail (CAT) that would enable regulators to track all activity throughout the U.S. for listed-equities and options.
On September 16, 2019, SIFMA and Deloitte will host an industry conference in New York City, from 8:00 a.m. to 12:30 p.m., that will describe in detail the reporting requirements and what firms (CAT Reporters) should consider to ensure a successful implementation of the CAT.
The conference will include a Regulatory Perspective and discussions on Technical Specifications and Project Management. Webinar option also available.
Download SIFMA’s recently published Firm’s Guide to the Consolidated Audit Trail, developed with Deloitte.
Pricing
| In Person Registration Rates | $95 |
|---|---|
| Webinar Registration Rates | $95 |
| In Person Registration Rates | $295 |
|---|---|
| Webinar Registration Rates | $295 |
| In Person Registration Rates | $95 |
|---|---|
| Webinar Registration Rates | $95 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| In Person Registration Rates | $95 | $295 | $95 |
| Webinar Registration Rates | $95 | $295 | $95 |
Program
8:00am – 12:30pm
Registration Desk Hours
8:00am – 9:00am
Continental Breakfast
9:00am – 9:05am
Participants
Ellen Greene
Speaker
9:05am – 9:30am
One-on-one conversation with Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton. The conversation will be led by Ron Veith of JPMorgan Chase & Co.
One-on-one conversation with Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton. The conversation will be led by Ron Veith of JPMorgan Chase & Co.
Participants
Ronald J. Veith, Manisha Kimmel
Moderator
Speaker
9:30am – 10:15am
As the industry prepares for CAT testing and the go-live in April 2020, firms are working through the complexities of implementation to ensure they meet their reporting obligations. The industry…
As the industry prepares for CAT testing and the go-live in April 2020, firms are working through the complexities of implementation to ensure they meet their reporting obligations. The industry has been preparing for this milestone for several years as CAT is one of the industry’s most significant builds in recent memory. During this panel, subject matter experts will discuss various aspects of CAT and what should be top of mind for firms as this critical reporting date approaches.
Participants
Michael J. Simon, Shelly Bohlin, Judy A. McDonald, Cindy Retterer, Ronald J. Veith
Moderator
Panelists
10:15am – 10:30am
Networking Break
10:30am – 11:15am
The technical specifications for CAT describe the requirements for the reporting of data to CAT by Industry Members. During this session, FINRA CAT, industry members and other subject matter experts…
The technical specifications for CAT describe the requirements for the reporting of data to CAT by Industry Members. During this session, FINRA CAT, industry members and other subject matter experts will share their views on technical specifications as firms work through the various implementation phases including scoping, coding and internal testing as the industry prepares for the commencement of Industry Member CAT testing in late 2019.
Participants
Alex Ravenel, Chris Bok, Jeremy Kahn, Katie Madison, Paul J. McKenney
Moderator
Panelists
11:15am – 12:30pm
As firms prepare for the launch of CAT, what are the CAT challenges and solutions they should consider? During this session, subject matter experts will discuss operational and governance aspects…
As firms prepare for the launch of CAT, what are the CAT challenges and solutions they should consider? During this session, subject matter experts will discuss operational and governance aspects of CAT implementation, including data sourcing, control frameworks, vendor readiness, industry testing and more.
Participants
Robert Walley, Josh Beaton, Anthony Becker, Todd Hocking, Denise Steffel
Moderator
Panelists
12:30pm – 12:30pm
Conference Adjourns
Venue
SIFMA Conference Center
120 Broadway
Floor 2
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
Hotel Accommodations
If you require hotel accommodation, a special SIFMA rate is available at the following:
Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY 10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852
Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)
Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)
Sponsorship
SIFMA's Strategic Partners
Accreditation
Conference participants will be eligible for 3.8 CPE Credits
Participants will learn the reporting requirements and what firms CAT (Consolidated Audit Trail) reporters should consider to ensure a successful implementation of CAT.
Field of Study: Audit – Governmental
Program Level: Intermediate
Delivery Method: Group Live or Group Internet
Advance Preparation: None
Complaint/Cancellation Policies: Lizzie Grimm
CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individuals courses for CPE credit. Complaints regarding registered sponsors may be substitutes to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
Media
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Media Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official press policy.
Terms and Conditions
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
Substitutions
Conference registration substitutions are welcome. Email Lizzie Grimm with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.
Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.