While the Internal Revenue Service has made progress in implementing a solution to its audit trail deficiencies, it still needs to strengthen its controls, according to a new report. Processing ...

The SEC recently adopted new recordkeeping requirements for broker-dealers and “SBS entities” (security-based swap dealers and major security based swap participants). Most notably, the SEC will no ...

The Chicago Mercantile Exchange (CME) issued a market regulation advisory relating to electronic audit trail requirements for orders entered into the Globex platform through the CME iLink ® gateway.

The nation’s equities and options exchanges Tuesday published a request for proposals on how to build a consolidated audit trail of all market activity every night, overnight. The system that will ...

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B&R has added an audit trail component to its mapp technology portfolio. New mapp component for implementing applications in compliance with 21 CFR Part 11 B&R has added an audit trail component to ...