Checklist
The 2026 DDQ Compliance Checklist for financial services
A 140-item checklist mapped to SEC, FCA, CFTC, FINRA, and OCC examination patterns, with the 12 questions that show up on virtually every institutional DDQ and the answer patterns that score well.
PDF, 54 pages. Editable checklist included.
What you will learn
What is inside
- A 140-item checklist mapped to SEC, FCA, CFTC, FINRA, and OCC examination patterns
- The 12 questions that show up on virtually every institutional DDQ — and the answer patterns that score well
- ILPA Standardized DDQ alignment notes for private fund managers
- A scoring rubric: how reviewers actually grade your DDQ in 2026
- Templates for change logs, version control, and the audit trail compliance reviewers expect
Table of contents
Table of contents
- How to use this checklist
- Firm-level: legal entity, ownership, registrations, regulatory history
- Strategy-level: investment process, capacity, performance attribution
- Operations: trading, settlement, valuation, vendor management
- Risk: market, credit, liquidity, operational, model
- Compliance and code of ethics: testing, personal trading, escalation
- Cyber and information security: SOC 2, NIST, AI architecture
- ESG and stewardship: SFDR, TCFD, voting and engagement
- Audit trail and recordkeeping: what reviewers want, what auditors accept
- Appendix: ILPA alignment, regulator-specific addenda, sample evidence list
Get the checklist
Get the checklist
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Need help operationalizing the checklist?
A specialist can walk you through how RocketDocs handles each section, including ILPA template alignment and multi-affiliate library structure for asset managers.