Mutual Fund Share Class Monitoring Checklist Form
Complete this checklist to evaluate and monitor mutual fund share classes for compliance, operational review, and ongoing assessment.
Share Class Name
*
Is the share class currently active?
*
Yes
No
Has the fee structure been reviewed and approved?
*
Reviewed and Approved
Reviewed, Not Approved
Not Reviewed
Eligibility criteria for the share class are documented and up to date.
*
Yes
No
Partially
Distribution method for this share class is appropriate and documented.
*
Yes
No
Requires Review
Rate the operational controls in place for this share class.
*
1
2
3
4
5
Rate the transparency of disclosures for this share class.
*
1
2
3
4
5
Recent performance review completed for this share class.
*
Completed
Not Completed
Compliance issues identified during the review.
*
None
Minor
Major
Submit Checklist
Should be Empty: