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Personal-Account Dealing & Restricted-List Pre-Clearance
12 min read15 checkpoints · 3 sections
Without a clear pre-clearance gate and post-trade monitoring, funds expose themselves to staff conflicts, market abuse, and regulatory scrutiny. This checklist tests whether the fund has embedded pre-clearance as a practice, not an occasional formality.
Interactive checklist
This phase tests whether the fund has built the foundational controls: restricted lists and clear staff notification.
This phase tests whether the fund systematically requires pre-clearance and follows up with post-trade monitoring.
This phase tests whether personal account dealing oversight is active governance backed by the board.
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