Audit Trail

All entries and updates to BrokerTec Risk Management risk settings are recorded in the Risk Management audit trail.

Risk Group Threshold & Alert updates are recorded in the Global Alerts Management Audit Trail.

  • To access the Risk Management Audit Trail:
  1. From the application menu, go to Audit, then select Risk Management Audit Trail.

  1. From the menu that appears specify the Entity type:
  • Firm
  • Firm Group
  • Trader

Note: This function is also available form the Firm Details / Firm Group Details page.
Firm Details - Audit selection:

Firm Group Details - Audit selection:

  1. For a given Entity , specify filter options to view matching data.

Firm:

  • Firm Name or ID
  • Type
  • Firm: View firm updates, for example Suspended, Active
  • Credit Control: Updates to risk values and order size limits
  • Alerts and Thresholds: Updates to thresholds and email recipients when trading exceeds thresholds.
  • Start / End Dates

Firm Group:

  • Firm Group Name
  • •Type
  • Credit Control: Updates to risk values and order size limits
  • Alerts and Thresholds: Updates to thresholds and email recipients when trading exceeds thresholds.
  • •Start / End Dates

Trader:

  • Trader Name or ID: Updates to trader order size limits.
  • Start / End Dates