CME Globex Front End Audit Trail iLink 3 Migration Requirements

As part of the iLink 3 migration, the following rules for an audit trail certification apply:

All customer systems using Audit Trail 2.x CSV or FIX formats will be required to certify for Audit Trail 3.x CSV or FIX formats.
Any certified Audit Trail 3.x CSV or FIX system that is not adding new functionality will not be required to recertify their audit trail system.
Any certified Audit Trail 3.x CSV or FIX system that is adding new functionality or changes its Administrative Information Registration (On Demand or Pre-Registered) will be required to recertify their audit trail system.
A new iLink 3.x CGW Order Entry System can be associated to an existing certified Audit Trail 3.x CSV or FIX system. Please send an email request to Audit Trail.

Only after your Order Entry is certified, please complete this questionnaire so an audit trail profile can be created.

More information regarding the iLink 3 audit trail test suite can be found at:

The Audit Trail certification process is completed upon the submission and approval of a production sample pursuant to the guidelines found below.

Please contact Market Regulation Audit Trail Team if you have any questions.

Production Sample Requirement Guidelines

The Audit Trail certification process is completed upon the submission and approval of a production sample pursuant to the following guidelines:

Proprietary Systems Prod Sample Requirement: required to submit a production sample to Market Regulation within 10 days (if a non-migrating system - i.e., a "new" system) or 6 months (if the system is migrating from iLink 2 to 3) of the Audit Trail system going live into production (applies to both CSV and FIX systems).
Vendor/ISV Systems Prod Sample Requirement: Only one of the following will apply to all Vendor solutions (applies to both CSV and FIX systems):
- Hosted solution 1 - Vendor creates and stores for a minimum of 5 years the audit trail on behalf of its customers.
  - Prod Sample Requirement: Vendor is required to inform a single customer using the system that they must submit a production sample to Market Regulation within 10 days (non-migrating) or 6 months (migrating) of the Audit Trail system going live into production.
- Hosted solution 2 - Vendor creates the audit trail but the customer is responsible for retrieving and storing.
  - Prod Sample Requirement: Vendor is required to inform a single customer using the system that they must submit a production sample to Market Regulation within 10 days (non-migrating) OR 6 months (migrating) of the Audit Trail system going live into production.
- Non-Hosted solution - Vendor distributes the audit trail application system to the customer who is then responsible for the creation and storage of the audit trail.
  - Prod Sample Requirement: Vendor is required to inform each customer using the system that they must submit a production sample to Market Regulation within 10 days (non-migrating) or 6 months (migrating) of the Audit Trail system going live into production.
  - Specifically, this applies to the Vendor's direct customers; in other words, those customers that obtain the system directly from the Vendor and are responsible for creating and storing their own audit trail.
  - We require each customer to submit a file under this solution because each customer can materially affect the manner and accuracy of the stored audit trail.
  - Please provide the number of Vendor customer's subject to the Non-Hosted solution.