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.

2. 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:

4. 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