Audit Logs

 

Objective

User and Transaction Audit logs are available to Company Admins in Advisor360 Express to report on activity across the platform. Here are some ways that Audit Logs can help you:

• Compliance - User Administration & System Security

• Detailed activity tracking for in-flight transactions

• Troubleshooting issues

Introduction

Express Audit Logs are categorized into two types:

• User Audit Logs track user administration and security actions The User Audit Log adds value for Company Administrators and System Administrators to monitor for potentially high-risk activities. This compliance audit log is automatically available when you need it.

• Transaction Audit Logs track transaction related activities to provide more detail than the summary timeline and information in the Details Card summary. This information is useful for tracking progress and troubleshooting.

To access the User Audit Log, open the Workspace Administration and click on the Audit Log icon:

 

Audit Log Events

User Audit Logs

 

Audit Type	Audit Event	Sample Details
User Administration	New User Added	New User Added, Role: Publisher
User Administration	Removed User	Removed User: John Smith ([e-mail])
User Administration	Changed User Role	Changed User Role from Publisher to Company Admin
User Administration	Changed User Security Profile from None to Add Security Profiles	Changed User Security Profile from None to Add Security Profiles
User Administration	Changed User Phone Number	Changed User Phone Number from 1 9402455922 to 1 9402455922
User Administration	Changed User Language	Changed User Language from en_US to vi_VN
User Administration	Changed User Secure Field Visibility	Changed User Secure Field Visibility from Off to On
Password Change	Password Reset Email Sent	Password Reset Email Sent
Password Change	Password Change	Password Change
Team Changes	Added Team: test2	Added Team: test2
Team Changes	Added User	Added User: John Smith([e-mail]) to Team: TestTeam
Team Changes	Removed User	Removed User: John Smith ([e-mail]) from Team: test2
Team Changes	Deleted Team: test2	Deleted Team: test2
Team Changes	Changed Team: <TeamName> Notification Setting	Changed Team: <TeamName> Notification Setting from Off to On
Access Control Group	Added Access Control Group	Added Access Control Group: <GroupName>
Access Control Group	Added User	Added User: John Smith([e-mail]) to Access Control Group: Test PWT Group
Access Control Group	Removed User:	Removed User: John Smith([e-mail]) from Access Control Group: Sponsor Bank 3
System Login Events	Logged in to Workspace	Logged in to Workspace
System Login Events	Logged out of Workspace	Logged out of Workspace

 

Transaction Audit Logs

The following Audit Events are captured for transaction related activities.

Case ID, Transaction ID, Date, and Performed By are captured in separate columns for each of the events listed below.

 

Audit Event	Sample Details
Transaction Creation
Document Save	Document saved by John Smith
Integration API Call: <Name>	Integration API call :SchwabServiceRequestTask - Error executing job
Signing Document Creation	Reason: Incorrect Data.
Document Viewed	Agreement viewed by John Smith
Publishing	Document published by [e-mail]
Document Signed	[e-mail] signed document
Transaction Rewind
Transaction Completed	All documents are signed
Download (Coming Soon - 23.16)
Change Signer (Coming Soon - 23.16)	Signer [e-mail] updated to [e-mail].

 

Setup

Contact Support to enable Audit Logs for your Company Admins.