Reporting and audit
Generate audit-ready compliance evidence
Package surveillance results, employee certifications, list changes, and plan activity into exportable reporting workflows for internal audit and regulators.
Report
Violation Summary
Prepared with current filters, approvals, and evidence mappings.
Report
Exception Activity
Prepared with current filters, approvals, and evidence mappings.
Report
Employee Certifications
Prepared with current filters, approvals, and evidence mappings.
Report
Restricted List Changes
Prepared with current filters, approvals, and evidence mappings.
Report
10b5-1 Plan Activity
Prepared with current filters, approvals, and evidence mappings.
Report
Audit Evidence Package
Prepared with current filters, approvals, and evidence mappings.
Audit trail
| Time | Actor | Action | Evidence |
|---|---|---|---|
| 2026-05-06 12:48 | Compliance Engine | Rule evaluation completed for PCR-9008 | Policy PR-14, blackout + holdings exposure |
| 2026-05-06 11:22 | Jamie Lee | Restricted list bulk upload approved | Upload batch BL-221 |
| 2026-05-06 10:04 | System | 10b5-1 amendment certification reminder sent | Notification queue NQ-8891 |
| 2026-05-05 16:30 | Maya Chen | Exception request created | EX-551 justification attached |