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Trade Reconstruction Data

LSE-SURV-002 | Category: Surveillance & Monitoring

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Policy Category
Surveillance & Monitoring
Classification
CRITICAL
Retention Period
7 years
Status
APPROVED
What This Policy Is
Policy Overview

Complete data for trade reconstruction including order flow

Regulatory Context

This policy ensures compliance with Markets in Financial Instruments Directive (MiFID II) Market Abuse Regulation (MAR) and mandates specific data handling procedures to meet legal obligations.

Markets in Financial Instruments Directive
Markets in Financial Instruments Directive - Comprehensive regulatory framework for investment services and trading venues across EU
European Union
Market Abuse Regulation
Market Abuse Regulation - Prevention and detection of market manipulation and insider dealing
European Union
Classification & Security Requirements
CRITICAL Classification - This data classification requires mandatory encryption at rest and in transit, access logging, and approval-based access controls.
Encryption
Required
Access Control
Approval Required
Audit Logging
Mandatory
How This Policy Is Used
Operational Procedures
  1. Data Identification: All data subject to this policy must be clearly tagged with policy code LSE-SURV-002
  2. Retention Management: Data is retained for 7 years from the date of creation or last business use
  3. Access Control: Access requires appropriate authorization level matching the CRITICAL classification
  4. Archival Process: Data is automatically moved to cold storage after the active period as defined by attached workflows
  5. Audit & Reporting: All access and modifications are logged for compliance auditing and regulatory reporting
Key Stakeholders
Data Owners

Business units responsible for data quality and accuracy

Compliance Team

Monitors policy adherence and regulatory reporting

IT Operations

Executes archival workflows and maintains infrastructure

Scope & Coverage
Data in Scope

This policy applies to all data within the Surveillance & Monitoring category, including but not limited to:

Dataset Type Count Classification
Surveillance Data 1 dataset(s) CRITICAL
Exclusions
  • Temporary working files (retained < 90 days)
  • System logs unrelated to business transactions
  • Test and development data (non-production environments)
Workflows & Operations
Automated Workflow Execution

This policy has 2 active workflow(s) that automate compliance enforcement:

Trade Reconstruction Data - Archival

WF-LSE-SURV-002-ARCHIVE

ARCHIVAL SCHEDULED Schedule: 0 2 * * *
Active
Workflow Steps:
  1. Identify Data data_selection *
  2. Validate Compliance validation *
  3. Archive to Storage archival *
  4. Generate Audit Report reporting
View Details
Trade Reconstruction Data - Retrieval

WF-LSE-SURV-002-RETRIEVE

RETRIEVAL MANUAL
Active
Workflow Steps:
  1. Validate Request validation *
  2. Locate Data data_location *
  3. Restore from Archive restoration *
  4. Deliver to Requestor delivery *
  5. Log Access audit *
View Details
Compliance Verification
Compliance Checklist
Automated Compliance Checks

Run automated compliance verification to identify any policy violations or gaps:

Datasets Impacted
Datasets Subject to This Policy

This policy governs 1 dataset(s) containing Surveillance & Monitoring data.

Dataset Code Dataset Name Category Classification Encrypted Sensitive Retention Status
DS-SURV-021 Trade Reconstruction Data Dataset
Dataset containing data governed by Trade Reconstr... 		Surveillance Data CRITICAL Yes Sensitive 7y ACTIVE
Dataset Details: All datasets listed above are actively monitored for compliance with this policy. Any changes to dataset classification, encryption status, or retention settings will trigger automatic compliance re-validation.
AI Policy Insights GPT-4
**Summary:** The Trade Reconstruction Data policy requires the organization to maintain comprehensive records of all trading activities, including detailed information about order flow. This means that every step and change in an order’s lifecycle—from initiation to completion—must be captured and stored. This data is classified as critical, emphasizing its importance for regulatory compliance, internal audits, and potential investigations. To meet legal and regulatory obligations, the policy mandates that trade reconstruction data be retained securely for a period of seven years. This ensures that the organization can provide accurate and complete information if requested by regulators or other stakeholders during this timeframe. Adhering to this policy helps safeguard the organization’s reputation and supports transparency in trading operations.
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Compliance Metrics

  • Active Workflows

    2

  • Datasets Covered

    1

  • Retention Period

    7y

  • Regulatory Frameworks

    2

  • Last Updated

    2025-10-11 11:12

Recent Activity
CREATE 2025-07-15 04:02
by compliance_officer
APPROVE 2025-05-03 02:06
by legal_counsel
View Full History
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