FINRA CAT Selects AWS for Consolidated Audit Trail
04 Diciembre 2019 - 08:00AM
Business Wire
FINRA CAT and AWS team up to streamline and
secure tracking of more than 100 billion daily financial market
events from 22 stock exchanges and 1,500 broker dealer firms
FINRA CAT will ultimately help protect
investors by improving the ability of regulators to oversee trading
in the U.S. securities markets
Today, Amazon Web Services, Inc. (AWS), an Amazon.com company
(NASDAQ: AMZN), announced that FINRA CAT, LLC, a subsidiary of
FINRA (Financial Industry Regulatory Authority), has selected AWS
as its cloud provider for the Consolidated Audit Trail (CAT). The
CAT will allow regulators to improve securities market surveillance
by creating an extensive audit trail of order information for all
U.S. equity securities and listed options across U.S. markets and
trading venues. Leveraging AWS’s storage, compute, database,
analytics, and security services, CAT ingests more than 100 billion
market events per day, pulling together data from 22 stock
exchanges and 1,500 broker dealer firms, enabling the U.S.
Securities and Exchange Commission and Self-Regulatory
Organizations (SROs) to analyze CAT data.
FINRA CAT, as the CAT Plan Processor, is responsible for
building and managing the CAT platform. This platform will be the
repository for all equities and listed options transaction data in
the U.S. and will track market trading activity by following orders
throughout their life cycle. FINRA CAT is relying on the breadth
and depth of the AWS portfolio, including Amazon Aurora (for its
primary database needs) and Amazon Redshift (for data warehousing),
Amazon Simple Storage Service (Amazon S3), as well as AWS’s
unparalleled security and compliance capabilities to develop the
platform. With Amazon EMR, which allows users to analyze vast
amounts of data quickly and cost-effectively at scale, and Amazon
Redshift, which makes it easy to analyze data in Amazon S3, the CAT
will be able to provide insights on market trading activities to
SROs and the SEC so that they can identify anomalies in market data
in order to better detect and prosecute illegal market activity and
protect investors. The CAT will be the first-ever repository of all
equity and listed options data for regulatory compliance purposes,
leveraging AWS security capabilities such as AWS Key Management
Service (KMS), Amazon GuardDuty, and AWS CloudTrail in order to
ensure the security of sensitive financial data.
“We are responsible for providing regulators with a consolidated
view of the markets, so security, scalability, and resiliency are
at the forefront of the design for the CAT platform,” said Scott
Donaldson, FINRA CAT Chief Technology Officer. “FINRA has deep and
tested experience in creating such an environment on AWS, and in
view of that track record, FINRA CAT is pleased to select AWS for
this major project.”
"The CAT will provide a single comprehensive view of U.S
equities and listed options markets, as well as new tools to
reconstruct market activity and maintain fair and orderly trading
systems," said Teresa Carlson, Vice President, Worldwide Public
Sector at AWS. “To implement this important regulatory initiative,
FINRA CAT chose AWS to deliver a highly scalable, robust, and
secure system that will enable regulators to improve securities
market analysis. We are collaborating to ensure that FINRA CAT can
deliver an industry leading platform that provides accessibility
and transparency of capital markets data to protect investors and
the integrity of the financial market.”
About Amazon Web Services
For 13 years, Amazon Web Services has been the world’s most
comprehensive and broadly adopted cloud platform. AWS offers over
175 fully featured services for compute, storage, databases,
networking, analytics, robotics, machine learning and artificial
intelligence (AI), Internet of Things (IoT), mobile, security,
hybrid, virtual and augmented reality (VR and AR), media, and
application development, deployment, and management from 69
Availability Zones (AZs) within 22 geographic regions, with
announced plans for 13 more Availability Zones and four more AWS
Regions in Indonesia, Italy, South Africa, and Spain. Millions of
customers—including the fastest-growing startups, largest
enterprises, and leading government agencies—trust AWS to power
their infrastructure, become more agile, and lower costs. To learn
more about AWS, visit aws.amazon.com.
About Amazon
Amazon is guided by four principles: customer obsession rather
than competitor focus, passion for invention, commitment to
operational excellence, and long-term thinking. Customer reviews,
1-Click shopping, personalized recommendations, Prime, Fulfillment
by Amazon, AWS, Kindle Direct Publishing, Kindle, Fire tablets,
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amazon.com/about and follow @AmazonNews.
About FINRA CAT
FINRA CAT, LLC is a subsidiary of FINRA that is the Plan
Processor for the Consolidated Audit Trail. For more information
visit www.catnmsplan.com.
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