Our platform supports seamless CAT compliance by:

By automating CAT reporting, our system helps firms reduce risk, ensure regulatory compliance, and focus on trading operations without worrying about back-office complexities.

• Capturing and formatting all relevant order lifecycle events
• Validating data for accuracy and completeness
• Submitting reports to the CAT central repository within regulatory timelines
• Managing error corrections and compliance monitoring

AQUAS BLUE supports comprehensive CAIS (Customer Account Information System) Reporting, enabling firms to meet FINRA’s regulatory requirements with confidence and efficiency. Our platform automates the collection, validation, and submission of account-level data, including account openings, updates, and authorized individuals, ensuring timely and accurate filings. With built-in audit trails, exception handling, and compliance alerts, AQUAS BLUE helps firms maintain data integrity and stay ahead of regulatory obligations in a secure and streamlined manner.

AQUAS BLUE provides powerful Exception Reporting tools designed to detect and flag irregular trading activity in real time. The platform monitors for potential compliance breaches such as wash sales, spoofing, layering, and other market manipulation tactics. Integrated log file analysis and customizable rule engines allow compliance teams to quickly identify exceptions, investigate patterns, and generate audit-ready reports. With automated alerts and detailed audit trails, AQUAS BLUE ensures firms maintain market integrity and regulatory readiness at all times.