Due Diligence / Compliance Readiness Assessment Test

Evaluate your compliance and documentation preparedness for a Due Diligence Questionnaire (DDQ). Answer the 15 questions below to discover your readiness score.

A. Investor & Business Records

1Do you maintain a Visitors Register with details of visitors and purpose of visit?

2Do you maintain a Grievance Redressal Register/Record, including complaint, action taken and closure?

3Do you maintain a documented Investor Profile, including investment objective, risk profile, time horizon and relevant investor information?

4Do you maintain a Customer/Investor Meeting Register or Meeting Record capturing important discussions and actions?

5Do you maintain Minutes/Records of Important Investor Meetings, particularly where investment decisions or recommendations are discussed?

6Do you periodically obtain and maintain Customer Feedback/Survey Records regarding your service and investor experience?

7Do you maintain an Operations & Service Tracking System for transactions, service requests, pending cases and their resolution?

B. Recommendation & Product Governance

8Do you have clearly documented criteria for offering/recommending a mutual fund scheme to an investor?

9Do you make appropriate disclosures regarding commission/brokerage or other remuneration, wherever applicable/required?

10Where a proposed scheme appears outside the investor's recorded risk tolerance/profile, do you obtain documented investor confirmation/consent before proceeding, where appropriate?

11Do you maintain a separate List/Record of Execution-Only Clients/Transactions and ensure that the underlying records support the execution-only classification?

12Do you systematically preserve important email, WhatsApp, SMS or other investor communications relating to recommendations, transactions, complaints and service requests?

13Can you produce documentary evidence showing why a particular scheme was offered/recommended to an investor, including the relevant investor profile or rationale?

14Do you have a documented process for reviewing and monitoring your investor communications, marketing material, website and social-media content for compliance with applicable requirements?

15Do you have a Website that matches with the AGNI parameter of Compliance on Statutory disclosures and outlines?

One Last Thing — Your Name

This will appear on your generated assessment report.

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