TraderVoice.

RESOURCE / RECORDING-CONTROL CHECKLIST

A stronger review starts
with specific questions.

Use this working checklist to define a recording-control review with trading technology, operations, compliance and counsel.

Download the checklist · PDF ↓

01 / WORKING CHECKLIST

Ten checks to take into the room.

  1. Scope and owner

    Record legal entity, activity, jurisdiction, approved channel, desk, line and accountable control owner. Confirm applicable rules with counsel.

    Result / source reference / owner: __________________________________

  2. Both call legs

    Confirm outbound and return-leg audio are present, intelligible and linked to the expected participants. Do not infer dual-leg capture from a successful call.

    Result / source reference / owner: __________________________________

  3. Missing or incomplete audio

    Check silence, one-way audio, clipping, missing segments and duration mismatch. Preserve observed results and mark checks that could not be performed.

    Result / source reference / owner: __________________________________

  4. Timestamps and identifiers

    Compare call start/end and recorder/archive timestamps in UTC. Record clock differences, call ID, recording ID, archive ID and the tested configuration.

    Result / source reference / owner: __________________________________

  5. Known-audio fingerprint

    Check the agreed phrase or watermark per expected leg. Keep acoustic-match findings separate from artifact checksums and caller identity.

    Result / source reference / owner: __________________________________

  6. Archive retrieval

    Retrieve the expected object using approved reviewer access. Distinguish missing record, ingest delay and permission failure; capture the retrieval time and source reference.

    Result / source reference / owner: __________________________________

  7. Retention

    Confirm the applicable record category, policy assignment, duration, storage controls and owner. A visible policy setting is not proof of future preservation.

    Result / source reference / owner: __________________________________

  8. Legal hold

    Record the relevant hold decision and responsible legal owner. Confirm authorized hold application and release procedure; do not alter production holds during a synthetic test.

    Result / source reference / owner: __________________________________

  9. Failure follow-up

    Assign an exception ID, severity, owner and response deadline. Attach original evidence; document the authorized change and create a linked retest.

    Result / source reference / owner: __________________________________

  10. Review and sign-off

    Record reviewer, UTC review time, conclusion and remaining limitations. Retain failed runs and review history. A passing sample applies only to its tested path and time.

    Result / source reference / owner: __________________________________

02 / OFFICIAL SOURCES

Apply the rule to the firm.

Educational information, not legal advice. These are the official sources already used in the TraderVoice compliance guide. Applicability and retention vary by entity, activity, jurisdiction and record category. Confirm the current rule text before using this checklist.

CFTC 1.31 addresses preservation; 1.35 addresses particular records and communications. SEC 17a-4 concerns broker-dealer recordkeeping. FINRA 3110, 4511 and 3170 have distinct scope. MiFID II Article 16(7) and FCA SYSC 10A have their own covered communications and retention rules.

Read the regulatory guide →Inspect sample evidence →

NEXT / DEFINE THE TEST

Start with the paths
you need to trust.

Bring your recording architecture. Let’s define the right test.

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