Mutual Fund Compliance Checklist Form
Internal compliance review checklist for mutual fund account/activity. Please complete all sections to ensure compliance requirements are met.
Fund/Account Name
*
Date of Review
*
-
Month
-
Day
Year
Date
Has the fund’s prospectus been reviewed and found current?
*
Yes
No
Not Applicable
Are all required regulatory disclosures present and up to date?
*
Yes
No
Not Applicable
Anti-Money Laundering (AML) procedures followed?
*
Customer identification verified
Transaction monitoring performed
Suspicious activity reported if necessary
Conflict of Interest review completed?
*
No conflict identified
Potential conflict disclosed
Conflict not reviewed
KYC (Know Your Customer) documentation verified?
*
Verified
Not verified
Not Applicable
Supporting documents reviewed and attached
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Additional comments or findings
Overall compliance status
*
Compliant
Non-Compliant
Pending Further Review
Reviewer Name
*
First Name
Last Name
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