The FINRA OATS Analyzer provides the following key features:

  • Stores OATS Fore files and FINRA response files in a database to support historic investigations. 
  • Runs rules based analytics to identify FORE records that will cause FINRA rejects to allow for correction before submission
  • Track the reporting status and alerts staff when action is required and allows specific actions to be assigned to each member of the team
  • Support reconciliation with Blue Sheets reports and/or OMS/EMS trade blotters
  • Greatly simplifies investigation of OATS reporting issues  
CAT Herder

The Consolidated Audit Trail (CAT) requires data to be extracted from all trading platforms within an organization

A significant number of broker dealers feel they are unprepared and/or have not identified a suitable tool to satisfy this requirement 

The CAT Herder provides tools that assist with:
  • Data Extraction
  • Data Normalization
  • Data Reporting

The CAT Herder and the OATS Analyzer integrate with our workflow manage tools to simplify reporting issue handling and to support the required operational process to satisfy CAT reporting standards.

Client Alert Monitoring System

The Client Alert Monitoring System has been developed to allow Sales Traders to concentrate on serving their clients effectively. CAMS allows Sales Traders to focus on communicating with clients by producing specific targeted alerts of internal and external actionable events to make effective client calls.

CAMS has been built using an orext developed framework that support processing FIX protocol messages, eMails, RSS feeds with Browser and native Windows user interfaces. This framework is based on Python, PHP and MySQL platforms.