Take Control of Customer and Account Reporting

The Consolidated Audit Trail (CAT) regulation requires broker dealers to report consistent, reliable, and managed customer and account data for regulatory use. Broker dealers around the industry are working to prepare their customer and account data for these new reporting requirements. The goal? Error-free reporting. To achieve this, many firms are asking:

  • Is customer data available or only legacy account system data?
  • Are our names, addresses, and identifiers applied and managed consistently?
  • Is our data free of duplication?
  • Are our accounts linked to the correct customer tax IDs and LEIs?
  • Are multi-party accounts, funds, and allocation accounts linked appropriately to customers?
  • Has our customer data been maintained regularly since original set up or periodic review?

By getting answers on these customer and account data questions, clients are getting a jump start on the CAT compliance deadlines while they focus on the order reporting for CAT as well.

By combining the Kingland Platform with our extensive involvement in CAT since 2013, and our data quality expertise, Kingland can help you improve your readiness for customer and account reporting into CAT. Our approach aggregates, compares, enriches, and refines your customer and account data, prioritized against CAT rules and common CAT issues. Having managed and improved the data quality with some of the world's leading broker dealers, Kingland will assess your data quality against CAT-expected rules and help you devise a plan for customer and account reporting.  

Supported by our history of working with millions of customer data records through the years, we help clients quickly:

  • Align, analyze, and improve data across legacy account based systems with client data systems, KYC systems, or client on-boarding data and documents
  • Identify missing corporate actions and name/address updates by accessing cognitive capabilities and data science resources
  • Expose duplicate and misaligned identifiers through advanced searching and matching capabilities
  • Use online UIs to explore data issues and communicate with stakeholders 
  • Complete data remediation projects in less time with large, decentralized teams

Uncover the data quality issues inherent in your data-intensive environment. Get started today