Variable Interest Entity (VIE) Compliance Checklist Form
Review and confirm compliance requirements for your Variable Interest Entity. Please complete all relevant fields for a thorough assessment.
Entity Name
*
Date of Review
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Reviewed By (Full Name)
*
First Name
Last Name
Contact Email
*
example@example.com
Does the entity meet the definition of a Variable Interest Entity under applicable standards?
*
Yes
No
Not Sure
Are the primary beneficiary criteria evaluated and documented?
*
Yes
No
Not Applicable
Have all significant variable interests been identified and disclosed?
*
Yes
No
Not Applicable
Are the consolidation requirements for the VIE satisfied?
*
Yes
No
Not Applicable
Have disclosures related to VIE risks and exposures been completed?
*
Yes
No
Not Applicable
Additional Comments or Notes
Submit Checklist
Should be Empty: