What is in the worksheet
The article covers the failure modes. The worksheet gives you the forms to prevent them — one per compliance category, fillable, with a UAT test case pre-written for each one.
Section 1: Pre-Mapping Regulatory Inventory
A structured checklist covering every regulatory layer before you open CRD:
- SEC, FINRA, and state-level mandates — with owner and sign-off fields
- 1940 Act and ERISA diversification requirements
- Client IMA constraints — mapped individually
- Internal policies: risk committee override authority, ESG exclusions, restricted trading lists
Section 2: Rule-by-Rule Mapping Templates
One page per compliance category. Each page includes: rule type, CRD restriction expression template (fillable), a pre-written UAT test case with specific scenario parameters, and the common mistake callout from the State Street implementation.
Concentration LimitsIssuer, sector, country exposure with aggregation method sign-off
Restricted List ControlsHard block templates — no override path
Best ExecutionTiered alert by trade size and broker routing
SuitabilityAccount-type filters for derivatives and structured notes
Reg-Specific (1940 Act / ERISA)Fund-type scoped diversification limits
Client IMA ConstraintsPer-mandate restriction expressions
Wash Sale / Tax Lot30-day window detection for taxable accounts
Section 3: Pre-UAT QA Sign-off Checklist
The five common mistakes from the article, reformatted as a sign-off checklist your compliance officer can countersign before UAT opens:
- Definitional sign-off completed for every rule
- Scope boundary enforced — migration vs. enhancement separated
- Historical scenario testing completed (not just synthetic data)
- Rule interaction review conducted with compliance + trading desk
- Custodian data field mapping documented with policy decisions
- Parallel run commitment (minimum 4 weeks, seeded with historical exceptions)
Going deeper than the worksheet?
The worksheet covers the definitional layer. The full implementation — scoping, configuration, testing, go-live — is the OMS Implementation Playbook. The CRD tier is $1,297.