Your Reporting Handled. Your Burden Lifted.Built by industry veterans, Gato's CAT and CAIS solutions deliver unmatched accuracy, scalability, and confidence for broker-dealers and clearing firms.
Precision Reporting. Zero Compromise Compliance.Fully managed CAT reporting that automates capture, validation, enrichment, and submission across the full order lifecycle — purpose-built for high-volume broker-dealers.
Handles extreme EOD bursts — 300M+ transactions in a single window for individual institutions.
EOD batch transformation of FIX logs, OMS exports, and custom files with hooks for real-time processing.
Stitches complex order lifecycles to ensure intra-firm and inter-firm linkage integrity.
Normalizes FIX 4.2/4.4, JSON, and CSV into the precise FINRA CAT Technical Specifications.
Specialized teams resolve exceptions within the T+3 correction window.
Privacy-First Customer & Account ReportingCentralize, validate, and submit customer and account data with precision — purpose-built for broker-dealers managing complex client structures under FINRA CAIS.
Sensitive identifiers (SSNs, TINs, EINs) stored encrypted; decrypted only in volatile memory.
Transforms PII into Transformed Input IDs so raw identifiers never reach the CAT CAIS environment.
Automated LTID monitoring satisfies SEC Rule 13h-1 within the CAIS framework.
Pre-submission checks identify mismatched profiles and missing mandatory fields.
Immutable log of every transformation and submission for FINRA inquiries.
Walk through gReg with our team on a live environment using your workflows, venues, and reporting obligations.
Guides covering the regulations and workflows this module handles.
gReg generates CAT and CAIS submissions from the same order and account events the trading and operations modules already capture, which removes the reconciliation layer where most reporting errors begin.
Reporting failures are rarely a schema problem. They come from lineage: an order that was modified in one system and reported from another, a customer record whose FDID does not match the account that traded, a late repair cycle that no one notices until the error feedback arrives. gReg works from source events — order entry, modification, route, execution, allocation, and the account and customer records behind them — validates against the current CAT and CAIS specifications before submission, and keeps a per-event audit trail for the questions FINRA asks later.
Reporting failures are rarely schema problems. They come from lineage. An order modified in one system and reported from another, a customer record whose FDID does not match the account that traded, a repair cycle nobody notices until error feedback arrives with a deadline attached.
gReg works from source events rather than an extract: order entry, modification, route, execution, allocation, and the account and customer records behind them. Recurring error patterns are surfaced by cause, so the upstream defect gets fixed instead of repaired every day, and specification updates land ahead of their effective dates.
Yes. CAT covers order and execution lifecycle events; CAIS covers customer and account information including FDID linkage. gReg produces both from one dataset, which is what keeps the two consistent with each other.
Feedback files are ingested automatically, errors are mapped back to the originating event, and repairs are tracked against the correction deadline rather than left in a spreadsheet.
Recurring error patterns are surfaced so the upstream cause gets fixed instead of repaired daily.
Yes. gReg ingests order and execution events from external systems and drop-copies. Reporting quality then depends on the completeness of the upstream event data, which we assess during onboarding.
Validation rules and schemas are maintained centrally and updated ahead of effective dates, including technical specification revisions and new reporting scenarios, so firms are not rewriting mappings each release cycle.
By reporting from the same events that drove the order rather than a downstream copy, and by grouping errors by root cause.
Most sustained improvement comes from fixing a handful of upstream data defects, not from faster repairs.
The firm remains the reporter of record. gReg tracks each submission and repair against its deadline, escalates items at risk, and retains evidence of what was filed and when, so supervisory review has something to read.
Gato modules work standalone or together — pick another family to continue.
One order book, one trading front end, and one link to global venues. Built for fast, institutional-grade execution.
Explore familyDigital onboarding, corporate actions, reporting, and client self-service. One workflow layer that keeps the back office moving.
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