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Run: Portfolio Rebalancing Drift Review and Trade Approval Log

Use this log to review portfolio drift against target bands and document whether rebalancing trades are approved. It gives you a clear audit trail from alloc...

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Review Context and Account Identification

Account identifier recorded

Record the account number or household identifier under review.

Review date captured critical (required)

Document the date and time the drift review was performed.

Model portfolio or policy benchmark identified critical (required)

Record the target model, IPS benchmark, or policy allocation used for comparison.

Review scope confirmed

Identify whether the review covers the full account, a sleeve, or a specific strategy.

Source data timestamp verified critical (required)

Confirm the market data or holdings data timestamp used for the drift calculation.

Review completed by qualified reviewer

Enter the name or role of the reviewer completing the drift assessment.

Allocation Drift and Tolerance Check

Equity allocation within tolerance band critical (required)

Enter the current equity allocation percentage and compare it to the target band.

Fixed income allocation within tolerance band critical (required)

Enter the current fixed income allocation percentage and compare it to the target band.

Cash allocation within tolerance band

Enter the current cash allocation percentage and compare it to the target band.

Alternative or other sleeve allocation within tolerance band

Enter the current allocation percentage for alternatives or other non-core sleeves.

Largest allocation drift quantified critical (required)

Record the largest absolute drift from target allocation across all sleeves.

Tolerance band breach identified critical (required)

Indicate whether any sleeve exceeds the approved tolerance band.

Yes No N/A

Drift review notes captured

Summarize the observed drift drivers, such as market movement, cash flows, or corporate actions.

Rebalancing Need and Trade Determination

Rebalancing required critical (required)

Confirm whether the account requires rebalancing based on policy, drift, or cash management rules.

Yes No N/A

Trade type selected critical (required)

Select the intended trade approach for the rebalance.

Proposed trade rationale documented critical (required)

Explain why the proposed trades restore target allocation or reduce risk drift.

Tax or restriction review completed critical (required)

Confirm that tax constraints, trading restrictions, or client-specific limitations were reviewed before approval.

Yes No N/A

Cash availability or proceeds sufficient

Confirm available cash, sale proceeds, or contribution amounts are sufficient to execute the proposed rebalance.

Yes No N/A

Trade Approval and Authorization

Trade approval status critical (required)

Document the approval outcome for the proposed rebalance.

Approver name or role recorded critical (required)

Enter the name, title, or delegated authority of the person approving the trade.

Approval timestamp captured critical (required)

Record when the trade approval was granted.

Approval conditions documented

List any conditions, limits, or follow-up actions required before execution.

Client, committee, or discretionary authority confirmed critical (required)

Confirm the approval path matches the account authority structure and governing policy.

Yes No N/A

Execution Readiness and Sign-off

Trade instructions prepared for execution critical (required)

Confirm the rebalance instructions are complete and ready for trading or order entry.

Yes No N/A

Exceptions escalated where required

Confirm any policy exceptions, restrictions, or unresolved drift issues were escalated to the appropriate authority.

Yes No N/A

Corrective action or follow-up owner assigned

Document the owner responsible for any follow-up action, correction, or deferred approval.

Inspector signature critical (required)

Signature of the reviewer completing the drift review and approval log.

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