CAT CAIS Reporting simplified into one automated workflow.
Simplify complex CAIS reporting requirements with ADEPT™’s automated workflows.
How CAIS data flows through ADEPT™.
ADEPT™ takes customer and account data through the same three stages before anything reaches a regulator: ingest, validate and link to CAT, and submit with lineage attached.
- Step 01Ingest
- ADEPT™ pulls customer and account records from your OMS, EMS, and clearing feeds into one governed intake. No separate CAIS export to keep in sync by hand.
- Step 02Validate and link to CAT
- Records are checked against CAIS field requirements and matched back to the CAT order and execution events they belong to, so customer and account detail never drifts from the trail it supports.
- Step 03Submit with lineage
- Each CAIS submission goes out carrying its full lineage back to source, so when a regulator asks why an account record looks a certain way, the answer is a query, not a reconstruction.
How CAIS reporting moves through the ADEPT™ pipeline.
Why ADEPT™ for CAIS reporting.
Integrated Data Management
Customer and account records are pulled from your existing OMS, EMS, and clearing systems into one governed intake, rather than assembled by hand for each CAIS cycle.
Comprehensive Reporting Tools
Every required customer and account field is validated and enriched before submission, covering the full scope of CAIS reporting standards in one pass.
User-Friendly Interface
Exceptions and resubmissions surface in a single review queue, so your team works discrepancies to resolution instead of hunting for them across systems.
Synchronized with CAT
CAIS submissions stay matched to the CAT order and execution events they describe, so customer and account information never falls out of step with the trail it supports.
Frequently asked questions
CAT reports order and execution events; CAIS, the Customer and Account Information System, reports the customer and account records tied to those events. The two obligations run on the same underlying data, which is why ADEPT™ keeps them synchronized rather than treating them as separate feeds.
CAIS submissions cover customer identifying information, account numbers, account types, and the relationships linking accounts to the firms and individuals trading on them: the account-level detail that CAT's order and execution events reference but don't themselves carry. ADEPT™ validates each field against CAIS requirements before submission.
Because CAIS and CAT draw on the same underlying data, ADEPT™ matches each CAIS account record back to the CAT order and execution events it supports as part of the same validation pass, so an update on one side doesn't leave the other out of date.
A resubmission is needed when a previously reported customer or account record changes: a corrected account number, an updated relationship, or a linkage error flagged during validation. ADEPT™ routes these to an exception queue so they're corrected and resubmitted on schedule rather than discovered later in an audit.
Ready to Simplify Your CAIS Reporting?
See how ADEPT™ keeps your customer and account submissions synchronized with CAT, scoped to your own reporting obligations, not a generic product tour.
Talk to a CAIS Reporting Specialist
Tell us about your current CAIS workflow and we'll route it to the right team.