Compliance & Reporting

Regulatory reporting, position limits & audit

John Trader

Metals Desk

Pending Reports

3

Draft or generated, awaiting submission

Position Limit Alerts

2

Approaching or breached limits

Trades Pending Reporting

1

Awaiting regulatory submission

Audit Events

20

Total logged events

Regulatory Reports

Report NameTypePeriodStatusGeneratedSubmittedActions
EMIR Q2 2026 Trade ReportEMIRQ2 2026SUBMITTEDMay 28, 09:30:00 AMMay 28, 02:15:00 PM
EMIR Daily Transaction ReportEMIR2026-05-30DRAFT——
CFTC Large Trader ReportCFTCWeek 22 2026GENERATEDMay 30, 04:00:00 PM—
MiFID2 Transaction ReportMIFID22026-05-29ACKNOWLEDGEDMay 29, 08:00:00 AMMay 29, 09:10:00 AM
Position Limit ReportPOSITION_LIMIT2026-05-30DRAFT——

Position Limit Monitoring

COPPER

LME

WITHIN LIMIT
Utilization18%

Current Position

900 MT

Limit

5,000 MT

Deliverable Supply

28,000 MT

CRUDE OIL

NYMEX

BREACHED
Utilization82%

Current Position

8,200 BBL (x1000)

Limit

10,000 BBL (x1000)

Deliverable Supply

52,000 BBL (x1000)

CORN

CBOT

APPROACHING
Utilization65%

Current Position

32,500 BU

Limit

50,000 BU

Deliverable Supply

180,000 BU

SOYBEANS

CBOT

WITHIN LIMIT
Utilization45%

Current Position

11,250 BU

Limit

25,000 BU

Deliverable Supply

95,000 BU

Trade Reporting Queue

Trade RefUTIReport TypeCounterpartyAsset ClassNotionalTrade DateStatusActions
TRD-2026-0001UTI20260315TRADEOS0001EMIRGlencore International AGCommodity - Metals$4,725,000Mar 15, 2026REPORTED
TRD-2026-0003UTI20260520TRADEOS0003EMIRADM Trading GmbHCommodity - Agriculture$4,550,000May 20, 2026REPORTED
TRD-2026-0005UTI20260410TRADEOS0005CFTCTrafigura Pte LtdCommodity - Metals$2,856,000Apr 10, 2026PENDING
TRD-2026-0002UTI20260528TRADEOS0002MIFID2Vitol SACommodity - Energy$165,000May 28, 2026FAILED

LEI validation failed: counterparty LEI expired

TRD-2026-0010UTI20260501TRADEOS0010EMIRMercuria Energy Trading SACommodity - Energy$249,300May 1, 2026AMENDED

Audit Log

TimestampUserActionResourceDetailsIP AddressService
May 31, 10:42:18 AMjohn.trader@tradeos.comCREATETrade TRD-2026-0012New copper buy trade, 200 MT at $9,520/MT10.0.1.42trade-service
May 31, 10:38:05 AMjane.compliance@tradeos.comSUBMITReport RPT-EMIR-Q2Submitted EMIR Q2 2026 report to trade repository10.0.1.55compliance-service
May 31, 10:35:22 AMsarah.risk@tradeos.comAPPROVETrade TRD-2026-0011Approved trade within risk limits10.0.1.48risk-service
May 31, 10:30:00 AMmike.treasury@tradeos.comUPDATEPayment PAY-2026-0089Updated payment status to SETTLED10.0.1.60treasury-service
May 31, 10:22:14 AMjohn.trader@tradeos.comUPDATETrade TRD-2026-0010Amended quantity from 2,500 to 3,000 BBL10.0.1.42trade-service
May 31, 10:15:30 AMsystem@tradeos.comCREATEPosition SnapshotDaily position snapshot generated10.0.0.1position-service
May 31, 09:58:42 AMjane.compliance@tradeos.comEXPORTAudit LogExported audit log CSV for May 202610.0.1.55compliance-service
May 31, 09:45:10 AMadmin@tradeos.comUPDATEUser mike.treasuryUpdated role permissions: added PAYMENT_APPROVE10.0.1.10auth-service
May 31, 09:30:00 AMsarah.risk@tradeos.comCREATERisk Alert RA-0042Position limit alert: CRUDE_OIL at 82% utilization10.0.1.48risk-service
May 31, 09:15:22 AMjohn.trader@tradeos.comLOGINSessionSuccessful login via SSO10.0.1.42auth-service
May 31, 09:00:05 AMsystem@tradeos.comCREATEMarket Data SnapshotMorning market data snapshot ingested10.0.0.1market-data-service
May 30, 05:45:30 PMjane.compliance@tradeos.comAPPROVEReport RPT-MIFID2-0529Approved MiFID2 transaction report for submission10.0.1.55compliance-service
May 30, 05:30:15 PMmike.treasury@tradeos.comCREATEPayment PAY-2026-0090Created margin call payment $1.2M to LME Clear10.0.1.60treasury-service
May 30, 04:50:00 PMsarah.risk@tradeos.comUPDATERisk LimitsUpdated firm-wide VaR limit from $4.5M to $5.0M10.0.1.48risk-service
May 30, 04:20:45 PMjohn.trader@tradeos.comDELETETrade TRD-2026-0011-DRAFTDeleted draft trade before submission10.0.1.42trade-service
May 30, 03:55:18 PMadmin@tradeos.comCREATECounterparty CP-006Onboarded new counterparty: Koch Supply & Trading10.0.1.10counterparty-service
May 30, 03:30:00 PMjane.compliance@tradeos.comSUBMITTrade Report TR-0004Submitted EMIR trade report for TRD-2026-000310.0.1.55compliance-service
May 30, 02:45:22 PMsystem@tradeos.comUPDATESanctions ListUpdated OFAC SDN list (revision 2026-05-30)10.0.0.1compliance-service
May 30, 02:10:05 PMsarah.risk@tradeos.comEXPORTVaR ReportExported daily VaR report to PDF10.0.1.48risk-service
May 30, 01:30:00 PMmike.treasury@tradeos.comLOGINSessionSuccessful login via SSO10.0.1.60auth-service

Showing 20 events

Page 1 of 1

Sanctions Screening

OFAC: 4 entries
|UN: 3 entries|EU: 3 entries

Last updated: May 30, 2026

Entity NameTypeCountryList SourcePrograms
Petromax Trading LLCORGANIZATIONIranOFAC
IRAN-EO13846SDGT
Viktor PetrovINDIVIDUALRussiaOFAC
UKRAINE-EO13660RUSSIA-EO14024
MV OceanisVESSELSyriaOFAC
SYRIA
Al-Noor Commodities FZEORGANIZATIONUAEUN
UN-1718
Kim Yong-CholINDIVIDUALNorth KoreaUN
UN-1718UN-2321
Eurasian Mining CorpORGANIZATIONRussiaEU
EU-269/2014EU-833/2014
Sergei VolkovINDIVIDUALRussiaEU
EU-269/2014
MV Dark ShadowVESSELIranOFAC
IRAN-EO13846
Khartoum Grain Trading CoORGANIZATIONSudanUN
UN-1591
Hassan Al-MukhtarINDIVIDUALLibyaEU
EU-2016/44