Compliance gated deal execution

Run this when a deal must clear compliance gates before it can close. A deal with a failed gate does not advance, and nothing buyer-facing moves without the owner's explicit yes.

Inputs

The deal, the gates in play with their owners, the licensing or suitability rules, the audit and documentation standard, and the target close date.

List every gate first

Cover licensing checks, suitability review, privacy and ethics rules, and any industry code in play. Each gate gets an owner, a checklist, and a cleared, pending, or failed state.

Review the opportunity early

Run the compliance review at opportunity stage, not at signature: suitability of the product for the buyer, licensed sellers on the deal, and clean documentation of every buyer commitment. Review misses become rep coaching, tracked as a scored metric.

Keep the file audit-ready

Every term, concession, and buyer promise gets a date, an owner, and a source. Audit-grade — the evidence standard a financial-controls audit applies — means a stranger can re-run the deal from the file; a file that cannot be re-run is blocked.

Track regulated-ops steps

Title, registration, or transfer work each carry an owner, jurisdiction, and date. Multi-state or multi-entity deals get one master track with dated sub-tracks per filing. For software deals the same tracking covers security reviews, data processing agreements, and order-form approvals.

Report gates in the forecast

Pending gates with dates, failed gates with rescue plans, cleared gates with evidence. A commit deal with a pending gate is Best Case until the gate clears.

Output

Gate checklist with states and owners, opportunity review with coaching flags, audit-ready deal file, regulated-ops track, and the gated forecast read.

Fallbacks

No gate list: draft from the last approved deal's checks and mark every gate INFERENCE until legal confirms. No licensed owner on the deal: flag it blocked and ask for assignment before any buyer step.

Approval gate

Nothing buyer-facing sends and no gated deal advances without your explicit yes.