ENERGY MARKET PARTICIPANT COMPLIANCE CHECKLIST

Created by ChecklistGuro (https://checklistguro.com)


--- REGISTRATION AND LICENSING ---
[ ] Market Participant Type (Generator, Supplier, Trader, Load Serving Entity, Transmission System Operator)
[ ] Registration Number
[ ] Date of Registration
[ ] Jurisdiction of Registration (Jurisdiction A, Jurisdiction B, Jurisdiction C)
[ ] Contact Person Name
[ ] Contact Person Email

--- FINANCIAL RESOURCES AND CREDITWORTHINESS ---
[ ] Net Working Capital (USD)
[ ] Credit Limit (USD)
[ ] Debt-to-Equity Ratio
[ ] Last Credit Rating Review Date
[ ] Credit Rating Agency (S&P, Moody's, Fitch)
[ ] Current Credit Rating (AAA, AA, A, BBB, BB, B, CCC, CC, C)
[ ] Latest Audited Financial Statements

--- TRADING CONDUCT AND MARKET MANIPULATION ---
[ ] Was there suspicious trading activity observed? (Yes, No, Unsure)
[ ] Describe any observed unusual trading patterns.
[ ] Estimated volume of potentially manipulated trade (in relevant units).
[ ] Were orders placed with the intent to create a false impression of market activity? (Yes, No, Unsure)
[ ] Date of suspected manipulative activity.
[ ] Time of suspected manipulative activity.
[ ] Which manipulative techniques are suspected (select all that apply)? (Wash Trades, Layering, Spoofing, Quote Stuffing, Other)
[ ] Upload supporting documentation (screenshots, trade records, etc.).

--- REPORTING OBLIGATIONS ---
[ ] Reporting Period Start Date
[ ] Reporting Period End Date
[ ] Total Volume Traded (MWh)
[ ] Total Revenue Generated
[ ] Number of Transactions
[ ] Reporting Status (Submitted, In Progress, Draft, Rejected)
[ ] Supporting Documentation (e.g., Trade Confirmations)

--- CYBERSECURITY AND DATA PROTECTION ---
[ ] Firewall Rule Update Frequency
[ ] Latest Antivirus Definition Version (Version 1.0, Version 1.1, Version 1.2, Version 1.3)
[ ] Data Encryption Methods Applied (AES-256, RSA, TLS 1.3, Hashing Algorithms)
[ ] Last Penetration Test Date
[ ] Summary of Recent Security Incident Response (if any)
[ ] Backup Logs (last 14 days)

--- RECORD KEEPING AND AUDIT TRAILS ---
[ ] Record Creation Date
[ ] Description of Transaction/Activity
[ ] Transaction Volume/Quantity
[ ] Transaction Value/Price
[ ] Transaction Type (Purchase, Sale, Transfer, Other)
[ ] Supporting Documentation (e.g., Invoices, Contracts)
[ ] Time of Transaction
[ ] Notes/Comments (Audit Trail Specific)

--- ANTI-MONEY LAUNDERING (AML) & COUNTER-TERRORIST FINANCING (CTF) ---
[ ] Customer Risk Level Assessment (Low, Medium, High)
[ ] Transaction Amount (USD)
[ ] Transaction Date
[ ] Source of Funds Description
[ ] Politically Exposed Person (PEP) Status (Yes, No, Unknown)
[ ] Enhanced Due Diligence (EDD) Required? (Yes, No)
[ ] Supporting Documentation (e.g., ID, bank statements)

--- CONTRACTUAL COMPLIANCE ---
[ ] Contract Type (Power Purchase Agreement (PPA), Gas Sales Agreement, Transmission Agreement, Ancillary Services Agreement)
[ ] Contract Start Date
[ ] Contract Expiration Date
[ ] Contract Volume (e.g., MWh, mmbtu)
[ ] Pricing Mechanism (e.g., Fixed, Indexed)
[ ] Key Contract Clauses Review Notes
[ ] Force Majeure Assessment (Compliant, Non-Compliant, Requires Further Review)
[ ] Supporting Contract Documentation

--- EMPLOYEE TRAINING & AWARENESS ---
[ ] Last Training Completion Date
[ ] Training Module Covered (Market Rules & Regulations, Cybersecurity Awareness, AML/CTF Procedures, Trading Conduct, Reporting Obligations)
[ ] Score on Post-Training Assessment
[ ] Topics Requiring Additional Focus (Market Manipulation, Reporting Timelines, Cyber Threat Landscape, Contractual Obligations)
[ ] Employee Signature (Acknowledgement)

--- REGULATORY UPDATES & CHANGES ---
[ ] Date of Regulatory Update
[ ] Description of Regulatory Change
[ ] Affected Area of Compliance (Trading Rules, Reporting Requirements, Market Access, Financial Resources, Cybersecurity)
[ ] Effective Date (YYYYMMDD)
[ ] Impact Assessment Summary
[ ] Regulatory Body Source (FERC, NERC, PUC, Other)
[ ] Regulatory Document (e.g., Notice, Order)

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