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Audit Trails: How Financial Institutions Can Remain Compliant

Blog Post
November 24, 2020

An audit trail is a detailed tracking of all transactions relating to an accounting record. To maintain and monitor secure and effective procedures, it’s vital to have an audit trail tracking system that properly complies with standards to keep your records accurate and traceable.

Audit Trail Compliance


Your audit trail system must record every action – creation, changes, deletion, etc. – of every record as soon as it occurs. If manual input is needed, your records are subject to potential tampering, cannot be trusted and are non-compliant.


All electronic records must be completely protected from access and modification.


Every detail must be recorded including a time stamp and information on the person or persons responsible for each action event.

Document and Check Scanning

Audit trail compliance from document and check scanning is simple with the right hardware and software. For audit trial compliance, your document or check scanning hardware and software should:

Create entries for every scanned check

When your scanner is integrated into your network and automating audit entries, you will no longer worry about anyone forgetting to log their work and actions.

Mark all the important data

Your scanner should time and date stamp each entry along with the ID of the user.

Send all data to storage and backup

Once a data entry is automatically created and completed by your scanner, it should be sent immediately to your database for secure storage. A scanner integrated into your network should make this just as simple and automatic as the entry creation itself.

Partner with an experienced vendor

A reliable technology provider will be able to advise you on all the latest document and check scanning technology available, as well as how it can be effectively combined with your existing hardware and software.

To maximize the relationship, choose a partner who can provide ongoing support to make sure your audit trail data is being effectively created and maintained.

Check out our white paper detailing the challenges of financial institutions that you face today and how some of the biggest players are responding.

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