Audit Trail

Seamless compliance with consolidated audit trails

Regulatory requirements demand that Futures Commission Merchants (FCMs) and Executing Brokers maintain accurate, electronic audit trail records for a minimum of five years. However, handling audit trail data from multiple sources in varying formats creates a complex and resource-intensive challenge.

CrossCheck simplifies this process by automating the validation, structuring, and storage of audit trail data—ensuring firms remain compliant while reducing operational overhead.

Your single source of truth to power best-in-class compliance, risk, and operations

How the Audit Trail module works

1

Automated Data Ingestion & Validation

Seamlessly integrates daily audit trail records from multiple exchanges, Independent Software Vendors (ISVs), and trading platforms.
Ensures data completeness and accuracy by validating both structure and content before storage.
2

Regulatory-Ready Data Structuring

Transforms raw data into the exact format required by regulatory bodies, eliminating manual adjustments.
Provides ongoing access to 18–24 months of stored audit trail data, with the option to retain records for longer.
Reduce the risk of SRO and regulatory agency fines
3

On-Demand Access & Export Options

Clients can securely access and export fully structured, compliant data at any time.
Regular delivery of completed audit trail records helps firms maintain their own long-term archives with ease.

Why CrossCheck?

Leading FCMs, brokers, and financial institutions trust CrossCheck to simplify compliance, streamline audit trail management, and unlock greater operational agility. With enterprise-grade security and real-time access to structured trade data, CrossCheck ensures that your firm stays ahead of regulatory demands—without added complexity.

Regulatory Confidence

Stay audit-ready with fully validated, regulation-compliant data storage and retrieval.

Operational Efficiency

Automate the intake and transformation of audit trail data, reducing manual errors and time spent on compliance tasks.

Improved Risk Mitigation

Ensure that audit trail records are structured correctly, eliminating gaps that could lead to regulatory scrutiny.

Scalability & Flexibility

Extend storage capabilities beyond the standard 18–24 months to meet internal or jurisdictional data retention policies.

Who benefits from the Audit Trail module?

Compliance Teams
Ensure all necessary controls are in place to meet CFTC, CME, ICE, Eurex, MiFID, and other regulatory standards, avoiding potential fines
Electronic Support Desks
Gain instant access to structured trade data for faster issue resolution and client support
Operations & Technology Teams
Reduce manual processing and improve data transparency with automated ingestion and validation

Why CrossCheck?

Leading FCMs, brokers, and financial institutions trust CrossCheck to simplify compliance, streamline audit trail management, and unlock greater operational agility. With enterprise-grade security and real-time access to structured trade data, CrossCheck ensures that your firm stays ahead of regulatory demands—without added complexity.

Trusted by industry leaders

"The regulatory and reputational risk that comes with doing things manually isn't something you want in your firm. By automating audit trails and compliance processes with CrossCheck, we minimize those risks significantly."

Author
Michel Shantner

Premium Customer

"We have filled the gaps that we discovered during our internal compliance review and now have a globally consolidated solution that simplifies data access and enhances reliability."

Author
Selena Miller

Operations Director

Ready to transform your operations?

Schedule a demo today to see how CrossCheck can help your team respond faster, with greater conviction, and less operational risk.