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MODULEMANAGEMENT PROCEDURES: Opening Procedures Pre-trade ChecksTRAINERS GUIDE Part 1 Spur Corporation Limited, 2004 This training material is copyrighted under the Borne Convention. Furthermore,
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How to fill out pre-trade checks

01
To fill out pre-trade checks, follow these steps:
02
Identify the pre-trade checks requirements set by your organization or regulatory authorities.
03
Gather all the necessary information required for the pre-trade checks, such as client details, trade details, and risk assessment guidelines.
04
Fill out the pre-trade checks form or software system provided by your organization.
05
Input the client details, including name, identification information, and trading account number.
06
Provide the trade details, such as the instrument being traded, trade quantity, and trade value.
07
Assess the risk associated with the trade based on predetermined guidelines or risk assessment models.
08
Verify the completeness and accuracy of the filled-out pre-trade checks form.
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Submit the pre-trade checks form for review or approval, as per the internal process of your organization.
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Follow any additional instructions or actions required, based on the outcome of the pre-trade checks review.
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Document and store the filled-out pre-trade checks form for future reference and audit purposes.

Who needs pre-trade checks?

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Pre-trade checks are needed by various financial institutions, including but not limited to:
02
- Investment banks
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- Brokerage firms
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- Hedge funds
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- Asset management companies
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- Trading platforms
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- Regulated financial entities
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- Compliance departments of organizations involved in trading activities
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These checks ensure compliance with regulatory requirements, risk mitigation, and adherence to internal policies and procedures. They are an essential part of trading activities to prevent fraud, money laundering, market manipulation, unauthorized trading, and other illicit activities.

What is Pre-Trade Checks Form?

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Pre-Trade Checks template instructions

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Pre-trade checks refer to the process of examining trades before they are executed to ensure compliance with regulations and internal policies.
Traders and investment firms are required to file pre-trade checks.
Pre-trade checks can be filled out by providing relevant trade information and verifying compliance with regulations.
The purpose of pre-trade checks is to mitigate risks and ensure that trades are executed in accordance with regulations and internal policies.
Information such as trade details, counterparty information, and compliance documentation must be reported on pre-trade checks.
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