Record Keeping

Effortless Record Keeping and Information Archiving for your Books and Records

SteelEye Record Keeping

Information Archiving and Record Keeping

Comprehensive record keeping is the foundation of nearly all compliance requirements. Under CFTC, Dodd-Frank, FINRA, MiFID II, and SEC rules, records of activities and transactions must be kept for five to seven years. 

The records that need to be archived under record keeping and books are wide-ranging and often require books and records to be stored in a tamper-proof, Write Once, Read Many (WORM) immutable format.

Financial firms also need to demonstrate to the regulator that they have sufficient processes and procedures in place to meet books and records or record keeping rules, and should the regulator request it, they may be required to retrieve and report records within 72 hours.

This requires firms to have a secure and search-ready information archive that stores their data in a compliant format, with the ability to quickly access records. 

Your Books and Records Stored Securely & Accessed Instantly 

SteelEye brings together structured and unstructured data from a wealth of sources and stores it in an immutable format in line with global record keeping and books and records obligations. 

All data is archived in a tamperproof WORM format, meeting regulatory demand under CFTC, Dodd-Frank, FINRA, MiFID II and SEC rules, and other regulations. It is then made instantly searchable and retrievable, enabling you to easily find any record you need in a matter of seconds. This enables you to leverage your data for enhanced analytics and insight whilst knowing that it is securely stored. 

SteelEye Record Keeping

Download the Record Keeping FactSheet

Record Keeping For Financial Services


With SteelEye, meeting your Record Keeping obligations is easy and your data becomes an asset that you can use whenever you need it.

Record Keeping is part of the SteelEye Data Platform, which also includes Trade Reconstruction, eDiscovery and Trade and Order Analytics.

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Benefits of SteelEye's Compliant Record Keeping

Your data, your success

With SteelEye's Record Keeping for Financial Services, you can instantly query any data set, build auditable cases for investigation and easily export reports, freeing up resource and improving efficiencies.

Powerful analytics

By bringing together your data from disparate systems on a single record keeping platform, you gain unparalleled insight into your business, empowering you to improve your decision-making and ultimately achieve better trading outcomes.

Confident compliance

With all your data stored in a tamperproof format in one place, you can rest assured knowing you that you are meeting your record keeping obligations. With SteelEye you can effortlessly and quickly find any trade, order or communication and demonstrate compliance.


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