Run Trade Order Pre-Trade Compliance Review Checklist — Free

Inspection Details

Order identifier, review timestamp, and reviewer details recorded

Confirm the order ID, review date/time, and reviewer name/role are captured for audit trail purposes.

Yes No N/A

Review outcome documented and sign-off completed

Confirm the final decision, escalation path if any, and reviewer sign-off are recorded before release or hold.

Yes No N/A

Order and Account Validation

Order matches the intended client, account, or strategy sleeve

Verify the order ticket aligns with the approved client/account/strategy instruction and authorized trading authority.

Yes No N/A

Security, side, quantity, and order type match the source instruction

Confirm the instrument, side, quantity, and order type are accurate against the approved order source.

Yes No N/A

Order routing and venue instructions are consistent with firm policy

Verify the order routing path, venue restrictions, and any standing instructions comply with the firm's OMS/EMS and best execution procedures.

Yes No N/A

Mandate, Restriction, and Limit Checks

Order complies with the client IPS, model portfolio rules, or trading mandate

Confirm the trade is permitted under the governing investment policy statement, model rules, or discretionary mandate.

Yes No N/A

Security is not on the restricted, blocked, or watch list

Verify the security is not restricted under the firm's list management controls and applicable sanctions screening process, including OFAC SDN screening where required.

Yes No N/A

Order does not breach concentration, issuer, exposure, or leverage limits

Check the proposed trade against applicable account, strategy, issuer, and leverage thresholds before release.

Yes No N/A

Short sale, derivative, or special permission requirements are satisfied

Confirm the order has the required approvals and permissions for short sales, leverage, or derivatives under firm policy and applicable rules.

Yes No N/A

Regulatory and Pre-Trade Control Checks

Required pre-trade supervisory review has been completed

Verify the order received the required supervisory approval or escalation before execution, consistent with firm controls and applicable regulatory obligations.

Yes No N/A

Market abuse or manipulation concern has been assessed

Confirm the reviewer assessed the order for potential manipulative or abusive trading indicators under applicable market conduct rules.

Yes No N/A

Best execution and order handling requirements have been considered

Confirm the order handling path is consistent with the firm's best execution and order handling procedures, including any routing or venue constraints.

Yes No N/A

AML, sanctions, and other pre-trade control alerts have been cleared or escalated

Verify any applicable AML, sanctions, or control-system alerts were reviewed and resolved before release, or escalated per procedure.

Yes No N/A

Decision, Exceptions, and Release

Final decision recorded as release, hold, or escalate

Document whether the order was released, held, or escalated for further review.

Yes No N/A

Exceptions or deficiencies documented with corrective action

Record the specific deficiency, applicable rule or policy reference, and any corrective action or approval required before release.

Yes No N/A

Reviewer sign-off completed

Confirm the reviewer has signed off on the final decision and supporting rationale.

Yes No N/A

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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