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

Date

September 16, 2019

Location

New York, NY or Webinar

Hosted by

SIFMA and Deloitte

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.

Program

8:00am – 12:30pm

Registration Desk Hours

8:00am – 9:00am

Continental Breakfast

9:00am – 9:05am

Participants

Ellen Greene

Speaker

Ellen Greene

Managing Director, Financial Services Operations

SIFMA

Ellen Greene’s Biography

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

Ronald J. Veith

Executive Director

JPMorgan Chase & Co.

Ronald J. Veith’s Biography

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

Michael J. Simon

Independent Senior Advisor

Deloitte & Touche LLP

Michael J. Simon’s Biography

Panelists

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

Judy A. McDonald

Associate Director, Technology

Susquehanna International Group, LLP

Judy A. McDonald’s Biography

Cindy Retterer

Vice President

Nasdaq

Cindy Retterer’s Biography

Ronald J. Veith

Executive Director

JPMorgan Chase & Co.

Ronald J. Veith’s Biography

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

Jeremy Kahn

Regulatory Reporting Specialist

Jane Street

Jeremy Kahn’s Biography

Katie Madison

Senior Director, Technology

FINRA CAT

Katie Madison’s Biography

Paul J. McKenney

Senior Director, Business Operations

FINRA CAT

Paul J. McKenney’s Biography

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

Robert Walley

Principal, Financial Services

Deloitte

Robert Walley’s Biography

Panelists

Josh Beaton

Executive Director

Morgan Stanley

Josh Beaton’s Biography

Anthony Becker

Product Manager, Compliance Solutions, Capital Markets

FIS

Anthony Becker’s Biography

Todd Hocking

Director, Trading Services

Pershing LLC, a BNY Mellon Company

Todd Hocking’s Biography

Denise Steffel

Vice President, Operations

Raymond James

Denise Steffel’s Biography

12:30pm – 12:30pm

Conference Adjourns

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

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.

Picture of venue

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)

Accreditation

CPE

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.