Electronic Audit Trail Review Submission
To submit a New Electronic Audit Trail Review (EATR):
- Download the Excel template.
- Complete the Data tab using the supported values listed in the EATR Population Instructions template in the 'Resources' section. Examples are provided for reference.
- If submitting multiple records in a single file, enter each additional record on a new row below the previous one.
- Complete the Contact and Firm Information section using the online web form.
- Upload the completed Excel file and submit.
Resubmission of Previously Submitted Electronic Audit Trail Review Records
Please note:
A resubmitted record overwrites the previously submitted record when the unique identifiers match.
To correct or update a previously submitted record, follow the New Electronic Audit Trail Review Submission process and provide the required and revised data fields.
Example:
If a record with Pathway "XXX | 1234 | Trading Firm" and Field 11 (Client Order Identification) "1234567" was previously submitted and requires correction, submitting a new record with the same Pathway and Client Order Identification will replace the original submission.
Resources
ICE Futures U.S. Audit Trail Advisory
ICE Futures U.S. Exchange Rule 4.19 and Electronic Audit Trail Requirements.
Instructions for population of the fields in the Data tab for Electronic Audit Trail Review Submission.