A single forensic repository for proactive compliance
FIS® Compliance Reporting Manager helps you comply with Consolidated Audit Trail (CAT) rules while increasing transparency. It efficiently collects, normalizes, validates, transmits and maintains reportable events in one central forensics repository.
Compliance Reporting Manager gives you a single point of entry for submitting your U.S. equities and options data in eligible securities to FINRA CAT for processing. And with access to the same data that regulators use, you can detect and fix errors prior to CAT submission and ensure proactive compliance.
How FIS empowers compliance reporting
Experience game-changing functionality
Harness the power of big data analytics to gain business value from Rule 613
Enjoy enhanced security
Rely on our strong controls and data protection
Reduce the risk of non-compliance
Mitigate scrutiny and fines with pre-submission simulation and progress reportingExplore Our Perspective
FIS Compliance Reporting Manager product sheet
The solution that helps broker-dealers proactively comply with CAT.
Major industry players trust FIS for their CAT solution blog
The fact that some of the largest broker-dealer firms in the capital markets industry chose FIS Protegent CAT as their preferred reporting solution can be quite telling.