4 Steps to Successful CAT Onboarding and Certification


David Campbell – Where is your firm in the onboarding process right now?

  • Have you read all the documents and signed all the necessary legal agreements to gain entry into the CAT testing environment?
  • Have you determined your default reporting ID?
  • Have you begun to assign your account administrators for CAT?
  • Have you signed up your reporting agents?

And most important: Will you be ready for industry testing when it starts on Dec. 16, 2019?

Best Execution in the US: 3 Things Broker-Dealers Need to Think About


John Jannes – Here are three key takeaways that broker-dealers need to think about.

1. Now is the time to have conversations with your downstream brokers and venues.

2. Start gathering the required look-through data.

3. Understand the two options to obtain and process downstream execution data.

The Case for Payment for Order Flow


Larry Tabb – It is certainly not a good idea to only route orders to markets that pay the highest rebate or charge the lowest fee, but this is difficult to regulate. Firms are generally governed by best-execution policy, which in the US focuses on obtaining a price for the client order that is at, or better than, the best bid or offer in the market.

Survival of the Fittest: Modernizing Capital Markets Infrastructure


Monica SummervilleA common approach to data architecture in financial services has been to utilize a data technology stack comprising a collection of approaches – for example, historic data in a relational database, recent data in a columnar database, and real-time data in some sort of event processing software engine. To obtain a consolidated view, connections must be made directly to various systems; an approach that gets increasingly complex over time.

S&P Global Market Intelligence launches Textual Data Analytics through Xpressfeed


S&P Global Market Intelligence announced the launch of Textual Data Analytics (TDA), a sophisticated new data offering which applies Natural Language Processing to generate sentiment scores and behavioral metrics based on company transcripts

Buy-Side Trend Watch: Harnessing Alpha With Innovation


Wayne CurryBespoke dashboards that mingle internal and financial data, visualize ideas, and share the results across the firm can also enhance the scalability and productivity of the idea generation process. This strategy boosts capabilities and delivers transparency more efficiently.