Governance
Audit Trail
Append-only record of every system and human eventData as of
Oct 5, 2026 · 4:00 PM ET
What changed
Twenty-four events have been recorded across data, policy, research, review, approval, external execution and reporting since Jul 30.
Why it matters
Every recommendation can be traced to the data state that produced it and to the named human who settled it.
Watch / decide
One event stands unactioned: the technology review trigger fired on Sep 26 with no subsequent decision.
Events recorded
25
Jul 30 — Oct 5, 2026
Approvals
3
External confirmations
2
Broker / custodian
Unactioned triggers
1
Technology review · Sep 26
Append-only · entries cannot be edited or removed
Chronological Record
25 shown
TimestampActorRoleActionObjectStatus
Oct 5, 2026
Oct 5 · 3:05 PM ETJ. HalloranAdvisorAdvisor review clearedPortfolio Rebalance — Oct 5Cleared
Oct 5 · 2:40 PM ETSystemEngineData refreshedCustodian positions · 3 sources98% health
Oct 5 · 1:50 PM ETM. FerrandCIOReport generatedInvestment Committee Summary — Oct 2026Draft
Oct 5 · 1:32 PM ETP. AnandComplianceCompliance review recordedDigital Asset Policy AlignmentCleared with condition
Oct 5 · 1:18 PM ETSystemEngineRecommendation submitted for reviewPortfolio / Sector Rebalance RB-2026-0911-A · 4 component legs · $8.4M gross activityReady for review
Oct 5 · 1:17 PM ETSystemEnginePolicy action submitted for reviewDigital Asset Policy Alignment PX-2026-0911-D · $2.0M aggregate sleeve reductionReady for review
Oct 5 · 1:01 PM ETM. FerrandCIOScenario runCustom — technology 16.0% / cash 12.0%Completed
Oct 5 · 12:52 PM ETSystemEngineScenario runMinimum Change · AI Proposal · Do-NothingCompleted
Oct 5 · 12:40 PM ETSystemEngineResearch package generatedPortfolio Rebalance — Oct 5, 202691% confidence
Oct 5 · 12:34 PM ETSystemEnginePolicy breach detectedDigital Asset Exposure · 5.8% vs 5.0% maxSoft breach
Oct 5 · 12:34 PM ETSystemEnginePolicy breach detectedTechnology Sector · 18.7% vs 17.0% maxSoft breach
Oct 5 · 12:30 PM ETSystemEngineData refreshedIntraday · pricing and exposures98% health
Oct 5 · 11:15 AM ETSystemEngineRegime read updatedVolatility Transition · 82% confidencePosture neutral → defensive
Oct 4, 2026
Oct 4 · 6:30 PM ETSystemEngineReport generatedWeekly Portfolio Intelligence — Wk 37Issued
Oct 4 · 2:12 PM ETR. OkonjoPortfolio ManagerResearch updatedSector rotation candidate setRevised
Oct 3, 2026
Oct 3 · 9:05 AM ETSystemEngineData refreshedDigital-asset sources · read-only94% health
Oct 2, 2026
Oct 2 · 4:44 PM ETP. AnandComplianceRestricted list updatedInstitutional Policy · 4 issuersEffective immediately
Sep 28, 2026
Sep 28 · 3:20 PM ETExternal BrokerCustodianExternal execution recordedMunicipal roll · $1.2MConfirmed
Sep 27, 2026
Sep 27 · 10:02 AM ETInvestment CommitteeCommitteeDecision approvedMunicipal roll · $1.2MApproved
Sep 26, 2026
Sep 26 · 4:06 PM ETSystemEngineReview trigger firedTechnology weight above 18.5%Unactioned
Sep 21, 2026
Sep 21 · 5:00 PM ETM. FerrandCIOReport generatedMarket Regime Report — Aug 2026Issued
Sep 14, 2026
Sep 14 · 11:35 AM ETInvestment CommitteeCommitteeDecision deferredTechnology Overweight Trim · $3.1MDeferred 30 days
Sep 14 · 9:15 AM ETSystemEngineRecommendation submitted for reviewTechnology Overweight Trim · $3.1MReady for review
Aug 28, 2026
Aug 28 · 2:41 PM ETExternal BrokerCustodianExternal execution recordedETH reduction · $0.9MConfirmed
Jul 30, 2026
Jul 30 · 4:55 PM ETM. FerrandCIODecision approved as modifiedDigital Asset Ceiling ReviewPartial approval
Events recorded from governance actions taken in this prototype session
This Session
- Oct 5 · 3:05 PM ETAdvisor review cleared on the rebalance package — client liquidity needs unchanged.J. Halloran · Advisor
- Oct 5 · 1:30 PM ETCompliance review opened on digital-asset alignment; cure period noted as day 23.S. Okafor · Compliance
- Oct 5 · 12:40 PM ETResearch package published at 91% confidence and released for human review.AI Rebalancing Research
Events are append-only in this record. Entries cannot be edited or removed, and every entry carries the actor, role and object it acted upon. Execution entries are confirmations received from the external broker or custodian, never actions taken by NeuroTrader.
- Oct 5, 2026Oct 5 · 3:05 PM ETClearedAdvisor review clearedPortfolio Rebalance — Oct 5J. Halloran · Advisor
- Oct 5 · 2:40 PM ET98% healthData refreshedCustodian positions · 3 sourcesSystem · Engine
- Oct 5 · 1:50 PM ETDraftReport generatedInvestment Committee Summary — Oct 2026M. Ferrand · CIO
- Oct 5 · 1:32 PM ETCleared with conditionCompliance review recordedDigital Asset Policy AlignmentP. Anand · Compliance
- Oct 5 · 1:18 PM ETReady for reviewRecommendation submitted for reviewPortfolio / Sector Rebalance RB-2026-0911-A · 4 component legs · $8.4M gross activitySystem · Engine
- Oct 5 · 1:17 PM ETReady for reviewPolicy action submitted for reviewDigital Asset Policy Alignment PX-2026-0911-D · $2.0M aggregate sleeve reductionSystem · Engine
- Oct 5 · 1:01 PM ETCompletedScenario runCustom — technology 16.0% / cash 12.0%M. Ferrand · CIO
- Oct 5 · 12:52 PM ETCompletedScenario runMinimum Change · AI Proposal · Do-NothingSystem · Engine
- Oct 5 · 12:40 PM ET91% confidenceResearch package generatedPortfolio Rebalance — Oct 5, 2026System · Engine
- Oct 5 · 12:34 PM ETSoft breachPolicy breach detectedDigital Asset Exposure · 5.8% vs 5.0% maxSystem · Engine
- Oct 5 · 12:34 PM ETSoft breachPolicy breach detectedTechnology Sector · 18.7% vs 17.0% maxSystem · Engine
- Oct 5 · 12:30 PM ET98% healthData refreshedIntraday · pricing and exposuresSystem · Engine
- Oct 5 · 11:15 AM ETPosture neutral → defensiveRegime read updatedVolatility Transition · 82% confidenceSystem · Engine
- Oct 4, 2026Oct 4 · 6:30 PM ETIssuedReport generatedWeekly Portfolio Intelligence — Wk 37System · Engine
- Oct 4 · 2:12 PM ETRevisedResearch updatedSector rotation candidate setR. Okonjo · Portfolio Manager
- Oct 3, 2026Oct 3 · 9:05 AM ET94% healthData refreshedDigital-asset sources · read-onlySystem · Engine
- Oct 2, 2026Oct 2 · 4:44 PM ETEffective immediatelyRestricted list updatedInstitutional Policy · 4 issuersP. Anand · Compliance
- Sep 28, 2026Sep 28 · 3:20 PM ETConfirmedExternal execution recordedMunicipal roll · $1.2MExternal Broker · Custodian
- Sep 27, 2026Sep 27 · 10:02 AM ETApprovedDecision approvedMunicipal roll · $1.2MInvestment Committee · Committee
- Sep 26, 2026Sep 26 · 4:06 PM ETUnactionedReview trigger firedTechnology weight above 18.5%System · Engine
- Sep 21, 2026Sep 21 · 5:00 PM ETIssuedReport generatedMarket Regime Report — Aug 2026M. Ferrand · CIO
- Sep 14, 2026Sep 14 · 11:35 AM ETDeferred 30 daysDecision deferredTechnology Overweight Trim · $3.1MInvestment Committee · Committee
- Sep 14 · 9:15 AM ETReady for reviewRecommendation submitted for reviewTechnology Overweight Trim · $3.1MSystem · Engine
- Aug 28, 2026Aug 28 · 2:41 PM ETConfirmedExternal execution recordedETH reduction · $0.9MExternal Broker · Custodian
- Jul 30, 2026Jul 30 · 4:55 PM ETPartial approvalDecision approved as modifiedDigital Asset Ceiling ReviewM. Ferrand · CIO
- Append-only · entries cannot be edited or removed