Run Trade Order Pre-Trade Compliance Review Checklist — Free

Inspection Details

Order identifier recorded

Capture the unique order ID, ticket number, or blotter reference for the pre-trade review.

Review date and time documented critical (required)

Record when the compliance review was completed before execution.

Reviewer name and role documented critical (required)

Identify the person performing the pre-trade compliance review and their function.

Order and Account Validation

Client, account, or strategy matches the order critical (required)

Confirm the order is entered for the correct client account, model portfolio, or trading strategy.

Yes No N/A

Security, quantity, side, and order type are complete and accurate critical (required)

Verify the order details are complete, legible, and consistent with the instruction received.

Yes No N/A

Order size is within account and strategy parameters critical (required)

Check whether the proposed quantity or notional amount is consistent with mandate limits and portfolio guidelines.

Yes No N/A

Mandate, Restriction, and Limit Checks

Order complies with investment mandate and stated objectives critical (required)

Confirm the trade does not conflict with the account's investment policy statement, prospectus, or mandate.

Yes No N/A

Security is not on a restricted, blocked, or watch list critical (required)

Verify the instrument is not prohibited by internal restricted lists, blackout periods, or information barrier controls.

Yes No N/A

Concentration, issuer, or exposure limits remain within threshold critical (required)

Assess whether the order would breach concentration, issuer, sector, or counterparty exposure limits.

Yes No N/A

Leverage, short sale, or derivative permissions are confirmed critical (required)

Confirm the account is authorized for the requested trading activity, including margin, short selling, or derivatives if applicable.

Yes No N/A

Regulatory and Pre-Trade Control Checks

Applicable pre-trade regulatory controls were applied critical (required)

Confirm required pre-trade checks were performed for the order, including any firm-specific or venue-specific controls.

Yes No N/A

Order does not create a known market abuse or manipulation concern critical (required)

Review the order for obvious red flags such as layering, spoofing indicators, or other prohibited trading behavior.

Yes No N/A

Required approvals or escalations are documented critical (required)

Confirm any required supervisor, compliance, or portfolio manager approvals were obtained before release.

Yes No N/A

Decision, Exceptions, and Release

Review outcome critical (required)

Select the final disposition of the pre-trade review.

Note (optional)

Exceptions or deficiencies documented

Describe any deficiencies, non-conformances, or policy exceptions identified during the review.

Reviewer signature critical (required)

Signature confirming the pre-trade compliance review was completed.

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Run: Trade Order Pre-Trade Compliance Review Checklist

Inspection Details

Order and Account Validation

Mandate, Restriction, and Limit Checks

Regulatory and Pre-Trade Control Checks

Decision, Exceptions, and Release

Get your results