SIFMA Webinar CAT Implementation Update 2021 | SIFMA | 18 February 2021 | Virtual
Venue
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| Event Date | Thu Feb 18 EST (almost 4 years ago) |
| Location | Virtual |
| Region | All |
Details
The first part of this webinar will bring together key stakeholders to discuss the current state of the CAT, what lies ahead, and the impacts to broker dealers.
Following a brief break, the second part will describe how firms should prepare for the upcoming phases of the implementation, focusing on:
• Lessons learned from Phases 2a and 2b
• Technical and operational challenges
• How firms and service providers are working through the complexity of the requirements
Speakers
2021 Speakers
Ellen Greene
Managing Director, Equity and Options Market Structure, SIFMA
PANELISTS:
Hugh Beck
Regulatory Reporting Advisor to Acting SEC Chair, U.S. Securities and Exchange Commission
Gregg E. Berman, Ph.D.
Director of Market Analytics and Regulatory Structure, Citadel Securities
Shelly Bohlin
Chief Operating Officer, FINRA CAT LLC, FINRA
Michael J. Simon
Independent Senior Advisor, Deloitte & Touche LLP
David Campbell
Vice President, Strategy, Broadridge Financial Solutions
Peter Gargone
Founder and CEO, n-Tier
Mark Hendrickson
Trading and Streetside Operations, D.A. Davidson
Jeremy Kahn
Regulatory Reporting Specialist, Jane Street
William Leahey
Head of Regulatory Compliance and Wealth Management, Refinitiv
MODERATOR:
David Emero
Vice President, Regulatory Operations, Goldman Sachs
Sponsors & Partners
2021 Sponsors and Parners
SPONSORS:
• Broadridge
• En-Tier fs
• Refinitiv
SIFMA'S STRATEGIC PARTNERS:
• AWS
• Broadridge
• EY
• Fico
• Fidelity Investmrnts
• FIS
• Google Cloud
• IBM
• PwC