QFC Part 371 Recordkeeping Cycle

Single-stage cycle over an institution's own 12 CFR part 371 qualified-financial-contract position, counterparty, and collateral file. The validator checks the file's shape against the appendix's published record layout and ties the file's declared totals to a supplied control-total summary, reporting a shape defect and a totals mismatch as two separate, never-merged findings. The rollup emits the closed decision: auto_pass, review_required, or escalate (did_not_run when no control-total summary is supplied). A file nonconformance routes the finding to internal audit as reviewer; the daily-capability recordkeeping check closes with a preparer/reviewer pair rather than a named external approver, since this is an internal standing test rather than a supervisor-facing filing, though an approver role binding stays available where the institution runs this co-sourced. The bundle evidences the institution's own basis for asserting part 371 recordkeeping conformance; it is not a filing and offers no advice on whether a contract is in fact a covered QFC.

OpenChainGraph · 1 Step compliance control Hash-Anchored §4 chain_depth:1 Client-Side · Zero PII

Chain Stages · 1 Step

1 ROOT / TERMINAL node review_required(reviewer)

QFC Part 371 Recordkeeping File Validator art-537-qfc-recordkeeping-file-validator

File-shape validation against the part 371 appendix record layout plus a control-total tie-out, and the rollup closed decision enum, close the recordkeeping-conformance evidence pack. Single stage.

§27 Human Accountability gate: a file nonconformance (review_required) routes the finding to internal audit as reviewer, and a totals mismatch (escalate) is reported as a first-class finding, never silently reconciled. The daily-capability recordkeeping check closes with a preparer/reviewer pair, not necessarily a named external approver, because this is an internal standing test, distinct from a supervisor-facing filing; an approver role binding stays available where the institution runs this co-sourced (§27.1, OPTIONAL by role).

MCP Call · validate_qfc_recordkeeping_file

{
  "jsonrpc": "2.0",
  "method": "tools/call",
  "params": {
    "name": "validate_qfc_recordkeeping_file",
    "arguments": {}
  },
  "id": 1
}