REGULATORY CASE MANAGEMENT CHECKLIST TEMPLATE

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

--- CASE INITIATION & ASSESSMENT ---
[ ] Case Received Date
[ ] Regulatory Framework Applicable (Framework A, Framework B, Framework C)
[ ] Case Reference Number
[ ] Initial Case Summary
[ ] Potential Financial Exposure (Estimate)
[ ] Case Priority Level (High, Medium, Low)
[ ] Incident/Issue Location

--- DATA COLLECTION & DOCUMENTATION ---
[ ] Initial Case Summary
[ ] Case ID
[ ] Date of Incident/Event
[ ] Relevant Correspondence/Notes
[ ] Supporting Documents (e.g., Contracts, Reports)
[ ] Document Type (Contract, Report, Correspondence, Other)
[ ] Data Sources (Client Interview, Public Records, Third-Party Reports)

--- COMPLIANCE REVIEW ---
[ ] Applicable Regulations (Regulation A, Regulation B, Regulation C, None Applicable)
[ ] Date of Last Regulatory Update Review
[ ] Compliance Score (e.g., 1-10)
[ ] Detailed Explanation of Compliance Status
[ ] Supporting Documentation (e.g., permits, licenses)
[ ] Compliance Training Completion (Completed, In Progress, Not Required)
[ ] Identified Gaps and Remediation Plan

--- STAKEHOLDER COMMUNICATION ---
[ ] Initial Contact Date with Stakeholder
[ ] Communication Method (Email, Phone, Letter, In-Person Meeting)
[ ] Summary of Communication
[ ] Number of Communications
[ ] Stakeholder Acknowledgment? (Yes, No)
[ ] Communication Record (e.g., Email, Letter)
[ ] Time of Last Communication

--- DECISION-MAKING & APPROVALS ---
[ ] Initial Decision Authority (Case Manager, Team Lead, Senior Manager)
[ ] Approval Threshold (Financial)
[ ] Date of Initial Approval
[ ] Approver Signature
[ ] Approval Rationale
[ ] Decision Type (Approved, Rejected, Deferred)
[ ] Date of Final Decision

--- REPORTING & AUDITING ---
[ ] Last Audit Date
[ ] Number of Cases Audited
[ ] Audit Findings - Severity (None, Minor, Moderate, Major)
[ ] Summary of Audit Findings
[ ] Supporting Audit Documentation
[ ] Regulatory Reporting Status (Not Required, In Progress, Completed)
[ ] Date of Next Scheduled Audit

--- CASE CLOSURE & ARCHIVING ---
[ ] Case Closure Date
[ ] Closure Summary & Justification
[ ] Closure Reason (Case Resolved, Case Dismissed, Case Transferred, Other)
[ ] Final Documentation Upload
[ ] Case Manager Signature
[ ] Total Case Duration (Days)

--- RISK MITIGATION & CONTINGENCY PLANNING ---
[ ] Identify Potential Regulatory Risks
[ ] Risk Severity Score (1-10)
[ ] Risk Category (Compliance, Legal, Financial, Operational)
[ ] Describe Contingency Plan Actions
[ ] Contingency Plan Review Date
[ ] Relevant Stakeholders for Contingency Execution (Legal Team, Compliance Officer, Management, External Counsel)
[ ] Supporting Documentation for Risk Assessment

--- END OF TEMPLATE ---
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