challenge
A leading broker-dealer faced a regulatory mandate to comply with SEC Rule 613, also known as the Consolidated Audit Trail (CAT), for their cash equities sales & trading operations. They needed to determine the most effective approach to meet these new regulatory requirements, whether through building a custom solution or purchasing an existing vendor product. Our expertise in both understanding the potential build requirements and the ability to comprehensively review third party systems made us the right partner for this engagement.
solution
Our strategic assessment provided the broker-dealer with crucial insights to make an informed decision on their CAT compliance approach. By thoroughly evaluating both custom development and vendor options, we helped the client identify the most cost-effective and efficient solution for their specific needs.
results
The broker-dealer adopted our recommended solution: purchasing a vendor product. This decision allowed them to:
Modernizing Mobile App Measurement for Multi-Million Dollar Marketing Campaigns
A global consumer tech leader was investing millions in paid media but lacked visibility into 90% of campaign performance—limiting their ability to drive key business outcomes. See how we turned data blind spots into marketing intelligence.
New Trading Desk Enables Continued Growth for Top 10 US Bank
Following the merger of two major financial institutions, our client—a top 10 US bank—needed to expand their suite of offerings to attract new Fortune 500 clients and increase their competitive advantage. Learn how our expertise in complex capital market solutions helped us establish a state-of-the-art trading desk to fuel future growth.
Centralized Reconciliation System Transforms Payments Company’s Treasury Operations
A rapidly growing unicorn payments company, faced challenges managing payments across a complex and expanding ecosystem. Learn how we created a centralized solution to streamline data management, ensure compliance, and maintain trust with stakeholders.
Future-Proofing a Payments System for Scalable Growth
Our client, a rapidly-expanding payments company, needed to lay the groundwork for their next-generation payments platform. Their existing payments system was outdated and lacked the scalability and flexibility required for future growth. Learn how we built a façade around their legacy system to modernize their payment management processes without disrupting ongoing operations.