Governance & Reporting

This page consolidates permission reminders, controlled-action approval records, reporting, reconciliation and team operating model standards.

Permission Reminder

All materials may be read for training purposes. Reading the material does not grant permission to perform controlled actions.

Training material explains how to identify issues, collect evidence, communicate clearly and escalate through the correct process. Any production change, client-impact action, risk-control adjustment, temporary control or configuration change still requires explicit approval for that specific action.

Shift Leader Confirmation

The on-duty Dealer should notify or seek confirmation from the Shift Leader when:

• A client-impact action may be required.
• A risk action, temporary control or configuration change is considered.
• Quote, Bridge or execution conditions materially deteriorate.
• Abnormal order flow or client-impact scope is unclear.
• An item has no responsible person, approval record or next update time.

Controlled Action Approval Record

Dealer:
Scope:
Training / SOP review:
Observed shift samples:
Evidence quality:
Escalation quality:
Handover quality:
SOP discipline:
Approved controlled action:
Approved scope:
Limitations:
Reviewer:
Review date:

Reporting and Reconciliation

Reporting and reconciliation are control processes. They confirm that platform records, broker reports and regulatory-facing records remain consistent.

Minimum standard:

• Use the correct reporting date, timezone and platform scope.
• Compare account, symbol, order ID, volume, open / close time and trading result.
• Separate timing differences from real breaks.
• Escalate differences affecting client balance, platform records or regulatory reports.
• Record correction reason, responsible person and timestamp when a report must be amended.

Team Operating Model

Work Area	Standard
Platform and Bridge awareness	Chapter 2 teaches concepts; Operations Manual defines records and escalation
Client behavior review	Chapter 3 teaches evidence; Incident & Risk Workflow defines escalation language
Exposure and event controls	Chapter 4 teaches risk logic; Incident & Risk Workflow defines action boundaries
Handover and audit trail	Chapter 6 teaches discipline; Shift Operations defines required records
Reporting and reconciliation	Governance & Reporting defines quality and escalation standards

Quality Rule

Good governance makes work repeatable. Every controlled action should have evidence, authority, responsible person, validation and closure.