Compliance Event Log
Aggregated event log for compliance and governance review.
Total Events50
Users5
Warnings5
Errors3
Events by Type
| Timestamp | User | Action | Target | Details | Status |
|---|---|---|---|---|---|
| 14 Feb 21:30 | System | Validation Run | IR Swap Portfolio | 1,519 fields, 2 warnings | ✅ success |
| 14 Feb 21:15 | Abi Wheeler | Report Generated | EMIR Refit Daily | 1,247 records exported as XML | ✅ success |
| 14 Feb 20:45 | System | Auto-Map | Field Mapping | 3 new fields mapped via AI | ✅ success |
| 14 Feb 19:30 | James Chen | Rule Created | Extensions | New rule: Settlement Currency Match | ✅ success |
| 14 Feb 18:50 | System | Compliance Scan | All Jurisdictions | Score updated: 87% | ✅ success |
| 14 Feb 18:15 | System | Import | SWIFT Gateway | 42,318 ISO 20022 messages ingested | ✅ success |
| 14 Feb 17:45 | Sarah Kim | Report Generated | MiFIR Transaction | 892 records | ✅ success |
| 14 Feb 16:30 | System | Validation Run | Credit Derivatives Book | 3 errors detected | ⚠️ warning |
| 14 Feb 15:00 | Abi Wheeler | Configuration | CDM Version | Updated from 5.12.0 to 6.0.0 | ✅ success |
| 14 Feb 14:20 | System | Report Generated | CFTC Part 45 Weekly | Generation failed — timeout | ❌ error |
| 14 Feb 12:05 | James Chen | Validation Run | FpML Confirmations | 98.4% pass rate | ✅ success |
| 14 Feb 10:00 | System | Login | Platform | Daily system health check | ✅ success |
| 13 Feb 22:00 | System | Validation Run | Commodity Swaps | 412 fields, all passed | ✅ success |
| 13 Feb 19:45 | Michael Torres | Schema Check | CDM 7.0 IR Swap | Cross-validated against ISO 20022 | ✅ success |
| 13 Feb 17:30 | Sarah Kim | Export | ASIC Reporting Pack | 2,340 records exported as CSV | ✅ success |
| 13 Feb 15:15 | System | Import | Bloomberg Feed | 18,456 pricing records ingested | ✅ success |
| 13 Feb 14:00 | Abi Wheeler | Mapping Edit | EMIR Collateral Fields | Updated 4 field mappings for FC code | ✅ success |
| 13 Feb 11:30 | System | Compliance Scan | CFTC Jurisdiction | Score: 92% (+3% from yesterday) | ✅ success |
| 13 Feb 09:00 | System | Login | Platform | Daily system health check | ✅ success |
| 12 Feb 20:30 | James Chen | Validation Run | Equity Options Book | 7 warnings — missing UPI fields | ⚠️ warning |
| 12 Feb 18:00 | System | Report Generated | UK EMIR Weekly | 3,891 records, 2 field warnings | ✅ success |
| 12 Feb 16:45 | Michael Torres | Configuration | Tolerance Rules | Notional tolerance set to 0.01% | ✅ success |
| 12 Feb 14:20 | System | Import | Markwire Gateway | 8,291 trade confirmations | ✅ success |
| 12 Feb 10:30 | Sarah Kim | Mapping Edit | SFTR Principal Fields | Corrected principalCurrency mapping | ✅ success |
| 11 Feb 21:00 | System | Validation Run | Full Portfolio | 14,250 fields — 5 errors, 12 warnings | ❌ error |
| 11 Feb 19:15 | Abi Wheeler | Report Generated | HKMA Quarterly | 567 records — 3 above threshold | ⚠️ warning |
| 11 Feb 17:00 | System | Schema Check | CDM 7.0 CDS | Validated referenceObligation mapping | ✅ success |
| 11 Feb 14:30 | James Chen | Configuration | SFTR Asset Class | Corrected to Securities Financing | ✅ success |
| 11 Feb 10:00 | System | Login | Platform | Daily system health check | ✅ success |
| 10 Feb 20:00 | System | Compliance Scan | MiFID II Jurisdiction | Score: 85% — 4 gaps identified | ✅ success |
| 10 Feb 17:30 | Michael Torres | Validation Run | FX Forward Book | 812 fields, all passed | ✅ success |
| 10 Feb 15:00 | Sarah Kim | Export | JFSA Monthly Report | 1,123 records | ✅ success |
| 10 Feb 12:30 | System | Import | Reuters Feed | 25,120 reference data records | ✅ success |
| 09 Feb 19:00 | System | Report Generated | MAS Weekly | 445 records exported | ✅ success |
| 09 Feb 16:45 | Abi Wheeler | Mapping Edit | CFTC UPI Fields | Added UPI mapping for 3 asset classes | ✅ success |
| 09 Feb 14:00 | System | Validation Run | Repo Book | 2 missing master agreement refs | ⚠️ warning |
| 09 Feb 10:00 | System | Login | Platform | Daily system health check | ✅ success |
| 08 Feb 18:30 | James Chen | Schema Check | CDM 7.0 Repo | Verified collateral.haircut mapping | ✅ success |
| 08 Feb 15:00 | System | Import | DTCC SDR Feed | 31,456 trade reports | ✅ success |
| 07 Feb 20:00 | System | Validation Run | Cross-Asset Portfolio | 9,800 fields — 1 error | ❌ error |
| 07 Feb 16:30 | Michael Torres | Report Generated | Reconciliation Summary | Daily recon: 98.2% match rate | ✅ success |
| 07 Feb 12:00 | System | Compliance Scan | All Jurisdictions | Overall score: 86% | ✅ success |
| 06 Feb 19:30 | Sarah Kim | Configuration | Reporting Templates | Added HKMA Phase 3 template | ✅ success |
| 05 Feb 17:00 | System | Import | ICE Clear Credit | 5,612 clearing confirmations | ✅ success |
| 04 Feb 14:30 | Abi Wheeler | Validation Run | EMIR Refit Migration | Post-migration validation — 4 warnings | ⚠️ warning |
| 04 Feb 10:00 | System | Login | Platform | Weekly system restart completed | ✅ success |
| 03 Feb 18:00 | System | Report Generated | CFTC Part 43 Daily | 2,891 records disseminated | ✅ success |
| 02 Feb 15:45 | James Chen | Validation Run | CDM Schema Compliance | 100% type coverage for IR products | ✅ success |
| 01 Feb 20:00 | System | Compliance Scan | All Jurisdictions | Monthly baseline: 84% | ✅ success |
| 01 Feb 12:00 | Michael Torres | Configuration | User Roles | Added Sarah Kim as Compliance Analyst | ✅ success |