Consolidated Audit Trail Compliance Checklist Form
Self-assessment for CAT reporting readiness and control verification
Firm/Entity Name
*
Reporting Environment
*
Please Select
Production
Test
Both
Review Period (Month/Year)
*
Have all required CAT data fields been captured and maintained?
*
Yes
No
Partially
Are all CAT order, lifecycle, correction/cancellation, and linkage events being properly recorded?
*
Yes
No
Partially
Are all required timestamps and linkage records maintained per CAT requirements?
*
Yes
No
Partially
Describe any data quality or timeliness issues identified during the review period.
List exception types encountered and current remediation status.
Name and Title of Compliance Representative
*
Attestation: I confirm that the above information is accurate to the best of my knowledge.
*
I attest to the accuracy of this self-check.
Submit Checklist
Should be Empty: