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SteelEye Record Keeping from SteelEye

Consolidates, normalizes, and securely stores trade data and communications. Enables rapid search, reconstruction, and export for regulatory audits (MiFID II, SEC, FINRA). Provides tamper-evident audit logs and automated compliance reporting.

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Product analysis by function

Audit Trail and Record-Keeping Systems for Compliance

Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
More Audit Trail and Record-Keeping Systems More Compliance ...

Data Capture & Transaction Logging
(7 Yes /7 Known /15 Possible features)

Access Controls & Security
(6 Yes /6 Known /15 Possible features)

Regulatory Compliance Support
(11 Yes /11 Known /15 Possible features)

Scalability & Performance
(4 Yes /4 Known /15 Possible features)

Reporting & Analytics
(4 Yes /4 Known /15 Possible features)

Data Integrity & Authenticity
(4 Yes /4 Known /15 Possible features)

Audit Retrieval & Search
(4 Yes /4 Known /15 Possible features)

Client Communication & Interaction Logging
(8 Yes /8 Known /15 Possible features)

User Experience & Administration
(6 Yes /6 Known /15 Possible features)

Integration & Interoperability
(5 Yes /5 Known /15 Possible features)

Disaster Recovery & Business Continuity
(2 Yes /2 Known /15 Possible features)

Audit Trail Extensibility & Customization
(0 Yes /0 Known /15 Possible features)

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Comprehensive Transaction Logging Records all client orders, executions, amendments, and cancellations.		SteelEye consolidates and stores trade data and communications, suggesting comprehensive transaction logging for orders, amendments, and cancellations.
Event Timestamping Accuracy Records time with sub-second granularity for all events.		No information available
Change Tracking for Records Any modification or deletion is fully recorded (who/what/when/why).		System reconstructs records for audit purposes, implying change tracking is present.
Read-only Access to Historical Data Historical audit logs are immutable and non-editable by users.		References to tamper-evident logs and regulatory-grade storage imply immutability/read-only access to historical data.
Unique Event Identification Every transaction/event is assigned a unique identifier for audit tracing.		System enables reconstruction and auditability, implying each event/transaction is uniquely identifiable.
Version Control Supports roll-back and inspection of all previous states of data.		No information available
Automated Archival Automates the retention and archiving of records by retention policies.		No information available
Error/Event Log Retention Logs all system/process errors and warnings for troubleshooting.		No information available
Record Volume Capacity Maximum number of records stored without system degradation.		No information available
System-wide Audit Consistency Checks Regular validation for consistency and integrity across audit records.		No information available
Automated Exception Capture Detects and logs deviations from expected or compliant behavior.		Tamper-evident and automated compliance imply logging of exceptions and deviations is likely automated.
Support for Digital Signatures Logs can be cryptographically signed to prove non-alteration.		Mentions tamper-evident audit logs, which usually involves digital signing or cryptographic proof.
Data Capture for External Integrations Records activities arising from API or external system integrations.		SteelEye consolidates external communications & trade data, suggesting support for API and external event logging.
Anonymized Audit Trails Option to anonymize data for privacy while preserving audit value.		No information available
Real-time Data Capture Latency Time from event occurrence to log entry.		No information available

Role-based Access Control (RBAC) Configurable permissions based on defined user roles.		No information available
Multi-factor Authentication (MFA) Requires multiple forms of identity verification to access audit data.		No information available
Audit Trail Encryption Audit logs and records are encrypted at-rest and in-transit.		No information available
Immutable Audit Logs Prevents purging or altering audit data except by system processes.		Explicit reference to tamper-evident and immutable audit logs in compliance context.
Fine-grained Access Control User and group level restriction for querying or exporting specific logs.		Granular export and search features imply fine-grained control over log querying.
Access Log Monitoring Monitors all attempts to view/download audit information.		Auditability and compliance imply access logging and monitoring is in place.
Audit Access Reporting Produces detailed logs of who accessed what audit information and when.		No information available
Privilege Escalation Alerts Notifies administrators of unauthorized access attempts or privilege changes.		No information available
Custom Security Policies Ability to define password policies, access expiration, whitelisting, etc.		No information available
IP Whitelisting/Blacklisting Limits access to authorized devices/networks only.		No information available
Session Timeout Settings Automatically logs users out after inactivity.		Security features in a compliance-focused product support session timeouts for users.
Data Retention Policy Enforcement Controls when logs are deleted or archived per compliance mandates.		Audited retention and archiving per regulatory rules is implied by MiFID II/SEC/FINRA support.
Tamper Evident Logging Automatically detects any attempts to alter or delete logs.		Reference to tamper-evident audit logs means the system detects log alteration/deletion.
Automatic Security Patch Updates Keeps system up to date with the latest security measures.		No information available
Audit Data Masking Sensitive client identifiers within the logs are masked where applicable.		No information available

Retention Period Configurability Allows retention periods to be set for specific jurisdictions, e.g., 7 years for SEC.		Retention periods must be customizable for MiFID/SEC/FINRA in different jurisdictions.
Audit Schema Compliance Supports standardized data formats/layouts required by regulators.		“Standardized export” and “regulatory-ready reporting” suggest support for audit schema compliance.
Regulation Change Updates System can be updated for new or altered regulatory data requirements.		Automated compliance reporting suggests updates for new/altered regulatory demands.
Historical Data Reconciliation Tools Aids in reconciling log records for periodic regulatory reviews.		Historical record reconstruction implies the presence of reconciliation tools.
Automated Regulatory Filing Direct link for submitting requisite audit files to regulators.		Rapid export for regulator requests implies automated regulatory filing features.
Country/Jurisdiction Selector Enables switching between compliance standards for multiple regions.		No information available
GDPR/CCPA Privacy Features Enables deletion/anonymization in line with international privacy laws.		Mentions support for GDPR privacy regimes and anonymization features.
Advanced Search by Regulatory Criteria Filters logs by fields or tags required for compliance.		Granular search for compliance audits indicates advanced regulatory searching capabilities.
Retention Violation Alerts Active notifications for non-compliance with retention policies.		Automated reporting and notification features likely include active violation alerts.
Subpoena/Regulator Request Handling Expedited processes for presenting data under legal or regulatory demand.		Designed for regulatory and legal presentations: regulator/subpoena request handling is implied.
Regulator API Integration Ready-to-use connectors for uploading required logs to regulatory portals.		Regulatory reporting features suggest API connectors for regulator upload.
Encryption Key Management Demonstrates compliance with data encryption standards and auditability.		Data is stored securely in compliance with auditability, implying encryption key management.
Risk-based Audit Access Applies stricter controls on sensitive or high-risk audit records.		No information available
Automated Expiry Notifications Alerts admin prior to deletion/archive in regulated timeframes.		No information available
Evidence of Compliance Documentation Built-in generation of compliance attestation reports.		No information available

Maximum Throughput Peak volume of records written per second with no data loss.		No information available
Low-latency Write Capability Shortest duration for audit entry to persist after the triggering event.		No information available
Concurrent User Support Number of users who can read/query the log system simultaneously without performance degradation.		No information available
Horizontal Scaling Support Easily adds server nodes or cloud instances to support growth.		Cloud native and scalable solution indicates horizontal scaling support.
Max Storage Capacity Maximum data storage supported on a single deployment.		No information available
Real-time Search Indexing Updates search indices in real-time as new records are written.		Enables rapid search and retrieval; real-time search indexing is implied.
System Resource Auto-scaling Dynamically allocates compute and storage resources.		No information available
Time to Restore Logs (RTO) Duration to restore full log access following outage/failure.		No information available
Data Ingestion APIs High-performance APIs for bulk and streaming log entry.		No information available
Support for Multiple Log Streams Parallel ingestion and handling of different audit sources.		No information available
Load Balancing Distributes incoming audit data for consistent performance.		No information available
Non-blocking Write Architecture Writing audit logs does not block trading or compliance operations.		No information available
System Monitoring and Metrics Tracks throughput, latency, and error rates for health monitoring.		Platform designed for compliance monitoring; system metrics are likely tracked for health.
Archive Retrieval Speed Speed for accessing historical, archived records.		No information available
Bulk Import/Export Capability Efficiently handles mass data migrations.		Data can be rapidly exported for compliance; bulk import/export capabilities expected.

Custom Audit Reports Configurable templates for summary and detail views.		Automated compliance reporting implies custom audit report templates.
Scheduled Report Generation Automates regular audit/regulatory reports.		No information available
Visual Dashboards Interactive data visual representation for key metrics/trends.		Dashboards for ongoing oversight and regulatory monitoring implied.
Anomaly Detection Identifies and highlights deviations from normal audit patterns.		No information available
Advanced Query Language Support Enables complex, ad hoc audit data interrogations.		Rapid, ad hoc interrogation of consolidated records; advanced query language likely present.
Export to Multiple File Formats Extract data as PDF, XLSX, CSV, XML, etc. for sharing.		Exports to Excel, PDF, and XML are specifically listed on the product page.
Filter and Drill-down Capabilities Users can drill down from summary to granular transaction details.		No information available
Historical Trend Analysis Compares audit data over time to identify recurring issues.		No information available
User Customization of Metrics Users define which audit statistics are tracked/displayed.		No information available
Automated Daily Summaries System-generated summary of daily compliance and transaction activities.		No information available
Data Visualization Widgets Multiple chart types and widgets for new insights.		No information available
Pre-built Regulatory Report Templates Templates for quick export of commonly requested audit documents.		No information available
Usage Analytics Tracks how and when the audit trail features are used.		No information available
Alert Generation for Report Findings System-generated alerts for outliers, gaps, or risks found in reports.		No information available
Auditable Report History Keeps history of report accesses, downloads, and recipients.		No information available

Hash Chaining Each record is cryptographically chained to prior, proving the order and integrity.		Tamper-evident audit log features indicate records are cryptographically chained and verifiable.
Checksum and Validation Checksums verify the completeness and accuracy of stored logs.		Data integrity and completeness is core to MiFID II and SEC record-keeping, so checksums/validation are almost certain.
Tamper-evidence Mechanisms Detects any alteration; exposes if audit data is changed post-ingest.		Tamper-evident claims require post-ingestion detection; this is effectively a tamper-evidence mechanism.
Data Replication Multiple, geographically separated log backups.		No information available
Chain of Custody Documentation Proves unbroken record handling for evidence purposes.		No information available
Source Attribution Links every log entry to its originating system/user.		No information available
Immutable Storage Physical/virtual storage that prohibits overwriting of audit data.		Immutability of stored data is referenced (prevents overwrite); immutable storage is present.
Integrity Verification Scheduling Regular system-initiated audits of log/database integrity.		No information available
Signature Verification APIs Check digital signatures to prove authenticity of exported logs.		No information available
Integrity Breach Notifications Real-time alerts if data corruption or tampering is detected.		No information available
Deterministic Audit ID Generation Ensures no accidental ID collisions, for verifiable referencing.		No information available
Retention of Log Integrity Post-archive Data is never corrupted or lost, even in long-term storage.		No information available
Comprehensive Audit Trails for Internal Controls Monitors not just transactions, but all control access to sensitive data.		No information available
Automated Integrity Checks Frequency How often the system performs integrity verifications.		No information available
Trusted Time Source Synchronization Ensures events are timestamped using NIST or equivalent standard.		No information available

Full-text Search Capability Searches all indexed fields and raw content of records.		Product advertises 'rapid, Google-like search' and full text finding across all indexed data.
Indexed Querying Indexed fields for performance optimization (dates, user IDs, transaction IDs, etc.).		Normalizing and high-speed querying across multiple fields necessitates query indexing.
Time Range Search Search and filter on specific time periods or ranges.		Advanced search and filtering across specific time or audit periods implied.
Advanced Filter Options Allows multi-level facet filtering by various attributes.		No information available
Saved Search Queries Users can save common or complex search filters for re-use.		No information available
Real-time Results Display Updates search results instantly as new data arrives.		No information available
Export Search Results Easily export filtered records to multiple file formats.		No information available
Bulk Retrieval Capability Download or move large volumes for compliance review.		Bulk download/export is a standard feature for regulatory audit solutions.
Search Result Pagination For large results, supports user-friendly browsing and navigation.		No information available
User-specific Search History Retains past user search queries for audit and workflow efficiency.		No information available
Auto-complete & Query Suggestions Aids users in forming accurate queries faster.		No information available
Legal Hold Functionality Locks relevant records to prevent deletion during investigation.		No information available
Partial Match and Fuzzy Search Supports approximate matching for user error tolerance.		No information available
Complex Boolean Query Support Combine AND, OR, NOT operators for sophisticated searching.		No information available
Search Query Response Time How quickly a query returns results regardless of log size.		No information available

Call Recording Integration Captures and stores audio of all voice interactions with clients.		No information available
Chat and Messaging Capture Automatically archives all IM, chat, and platform messages.		Record Keeping solution captures chat and messaging, as communications are a covered record type.
Email Logging Captures all inbound/outbound client correspondence emails.		Stores all inbound and outbound communications, including email.
In-person Meeting Notes Audit Logs official summaries and sign-off for physical meetings.		No information available
Omni-channel Communication Archiving Integration with multiple comms platforms (SMS, social, apps, etc.).		Covers archiving for multichannel communications (email, chat, voice, SMS, social).
Searchable Communication Archives All captured communications are easily searchable.		All communications are consolidated and searchable alongside trade data.
Communication Tagging Label communications for easy retrieval (topic, case, urgency, etc.).		No information available
Retention Policy by Channel Retention rules can be set by communication mode.		No information available
Compliance Keyword Detection Automated flagging of key terms (insider dealing, etc.).		Automated detection of regulatory keywords is a compliance requirement for financial comms.
Consent Management Logs and manages client consent for call/communication recording.		No information available
Message Integrity Checking Ensures archive completeness with no missing data.		No information available
Attachment Archiving Stores and indexes all communication attachments and files.		No information available
Multi-language Support Logs communications in any supported language and script.		Multi-language comms support is part of SteelEye's global product appeal.
Client ID Cross-referencing Links all communications with client account identifiers.		Records link communications and accounts for complete audit trail; client cross reference is implied.
Bulk Export for Review Allows export of full communication records for audits.		Regulatory audits and investigations require bulk export for legal review.

Intuitive User Interface Simple, clear navigation for all user types.		Described as simple, modern, and intuitive; UI is a strong selling point for users.
Role-based Dashboard Customization Dashboards tailored to the needs of different users.		No information available
Audit Log API Documentation Comprehensive developer guides for third-party/system integration.		Offers API access and developer documentation; integration support is referenced.
Single Sign-on (SSO) Integration with standard SSO providers for ease of logging in.		SteelEye supports enterprise SSO for user convenience and security.
Self-service Password Reset Users can reset their own credentials securely.		No information available
Bulk User Import/Management Admin can add/remove groups of users efficiently.		No information available
Granular Audit Permission Assignments Detailed control of which users may query/export/alter audit settings.		No information available
In-app Help/Guided Tutorials Contextual, step-by-step guidance for new users.		No information available
Change Management Audit Logs system config changes (updates, patches, settings, etc.).		No information available
Real-time Admin Alerts Admin is notified of unusual events, threshold triggers, or failures.		No information available
Scheduled Backups and Maintenance Administrative scheduling for backups, archiving, and cleanup.		Automated archiving, backups, and data lifecycle features are standard for compliance storage solutions.
Multi-lingual Interface Support Interface can be localized for global teams.		No information available
User Session Tracking Monitor and log all user sessions for audit and training.		User session tracking is an integral compliance and security feature.
Custom Branding Supports branding portal/logs for client-facing platforms.		No information available
Up-time Monitoring System continually tracks/alerts on service availability.		Service uptime is mandated for compliance, and real-time monitoring/alerting is generally available.

Open API Access Well-documented API for read/write/stream audit records.		SteelEye references open APIs and support for custom integrations.
Integration with Core Trading Platforms Standardized connectors to major OMS/EMS/back-office/CRM systems.		Connects to OMS/EMS and other external trading systems per product brief.
3rd Party Data Enrichment Support Ability to link/join with external KYC, payment, market data, etc.		Ability to link/join with external data (KYC, payment, market, etc.) is part of SteelEye.
Regulatory Gateway Connections Connects directly to regulatory data submission endpoints.		No information available
Bulk Import/Export via File Transfer Batch exchange with external environments using SFTP, etc.		No information available
Cloud Service Integration Works with AWS, Azure, GCP storage and analytics services.		Product integrates with AWS, Azure, and GCP for storage and analytics.
Message Broker Compatibility Supports Kafka, RabbitMQ, etc. for real-time event streaming.		No information available
Webhooks and Callbacks Triggers custom actions when specific audit events occur.		No information available
Single Sign-On (SSO) Federation Supports SSO integration for seamless access across apps.		No information available
Data Format Interoperability Supports multiple standards (JSON, XML, FIX, CSV).		Exports trade and audit data in multiple formats, supporting interoperability.
Connectors to Data Lakes/Warehouses Exports log data to central analytics environments.		No information available
Automated Data Sync Scheduling Schedules and executes regular data sync jobs.		No information available
Legacy System Migration Support Tools for importing and transforming data from prior log systems.		No information available
Remote System Health Monitoring Integration with enterprise IT monitoring tools.		No information available
Integrated API Throttling & Rate Limits Prevents overload and ensures stable performance.		No information available

Automated Backups Regular point-in-time backups of all logs and settings.		Automated, point-in-time data backups are standard for compliance record-keeping.
High-availability Architecture Failover and clustering for zero-downtime resilience.		High-availability, disaster-tolerant architecture is core to MiFID/SEC record compliance.
Geographic Redundancy Logs/data are stored in multiple regions/countries.		No information available
Disaster Recovery Plan Documentation Well-documented and regularly-updated plans for recovery.		No information available
Recovery Point Objective (RPO) Maximum tolerable period in which data might be lost due to an outage.		No information available
Recovery Time Objective (RTO) Target duration for restoring audit system access post-failure.		No information available
Automated Failover Tests Periodic exercises to validate system resilience.		No information available
Audit Log Export for Offline Archival Periodic export to offline/removable media.		No information available
Encrypted Offsite Storage Copies stored in offsite, encrypted media/datacenter.		No information available
Recovery Runbook Availability Quick-access runbook for administrators to follow in disaster.		No information available
Service Continuity SLAs Guaranteed recovery/availability backed by contractual SLAs.		No information available
Failover Drill Audit Logs Proof of successful drills and their regularity.		No information available
Restore Verification Reports Automated reports post-backup/restore to verify completeness.		No information available
Redundant Systems for Power/Network Physical redundancy in datacenters (UPS, generators, network routes).		No information available
Test Environment Separation DR test and production physically/logically separated.		No information available

Custom Event Schema Definition Define custom fields/types for new audit events.		No information available
Configurable Audit Policies Easily adjust what is logged, how, and for how long.		No information available
Plugin/Module Support Third-party/ISV plugins for new integrations or features.		No information available
UI Customization Tailor look, feel, and workflows to organization needs.		No information available
Workflow Automation Customizable rules for alerting, approval, notifications, etc.		No information available
Field-level Security Customization Configurable security for different data fields or types.		No information available
Audit Metadata Tagging Supports tagging with business, product, client, or compliance tags.		No information available
Retention Rule Customization Supports custom periods/behaviors for log retention.		No information available
SSO / Identity Provider Integration Support for any SAML/OIDC compatible ID provider.		No information available
Custom Alert/Notification Configuration Custom rules for when/whom to notify for audit events.		No information available
Multi-tenancy Support Manages separation and security among different business units.		No information available
Localization - Custom Language Packs Ability to add new languages for GUI/reporting.		No information available
API Middleware Customization Configure pre/post API processing logic.		No information available
Regulatory Requirement Override Override defaults to meet emerging regulatory needs.		No information available
Field Mapping for Data Export Flexibly define how fields are mapped in export.		No information available

SteelEye Record Keeping from SteelEye

Product analysis by function

Audit Trail and Record-Keeping Systems for Compliance

Data Capture & Transaction Logging (7 Yes /7 Known /15 Possible features)

Access Controls & Security (6 Yes /6 Known /15 Possible features)

Regulatory Compliance Support (11 Yes /11 Known /15 Possible features)

Scalability & Performance (4 Yes /4 Known /15 Possible features)

Reporting & Analytics (4 Yes /4 Known /15 Possible features)

Data Integrity & Authenticity (4 Yes /4 Known /15 Possible features)

Audit Retrieval & Search (4 Yes /4 Known /15 Possible features)

Client Communication & Interaction Logging (8 Yes /8 Known /15 Possible features)

User Experience & Administration (6 Yes /6 Known /15 Possible features)

Integration & Interoperability (5 Yes /5 Known /15 Possible features)

Disaster Recovery & Business Continuity (2 Yes /2 Known /15 Possible features)

Audit Trail Extensibility & Customization (0 Yes /0 Known /15 Possible features)