Named Best Reporting Solution for CAT, 2021 & 2022
As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt
Utilize your firmʼs securities loan transaction data feeds to identify in scope loans with reportable underliers including CAT, TRACE, and MSRB RTRS securities.
Monitor in-scope securities loans for reportable events to submit required new, modified, and cancelled transactions to the FINRA SLATE system.
Fully integrated with FINRA’s SLATE system to provide transparency to external exceptions and leverage our comprehensive bulk corrections tools to easily address any reporting exceptions.
Back to source reconciliation capabilities, and extensive data validation rules on source data and reported transactions to provide supervisory oversight metrics.
Run onsite or as a fully hosted, highly secure cloud-based solution. Designed for configurability, flexibility, and ease-of-use, it integrates with complex loan processing environments with no development effort.
Coupled with our deep industry knowledge built up over decades of regulatory reporting across various compliance landscapes, n-Tier is best positioned to help ensure your reporting is complete and accurate.
Refine your reporting workflow through flexible customization as well as supervisory tools, reporting, and auditing features.
Contact our specialists to discuss applying deep industry expertise and innovative software solutions to your unique challenges.
Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.
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