QDD Scoping (fixed-fee)

We help small & mid-sized banks decide if QDD is needed. You get a clear yes/no, a view of 871(m) exposure, and a minimal control plan tailored to your products and systems. Remote-first, fast, fixed-fee.

Who this is for

• Banks with limited or unclear equity-linked derivatives activity.
• Custody/prime flows where 871(m) might appear but volumes are uncertain.
• QI institutions considering QDD but needing a cost–benefit view first.

Not ideal for: global dealer groups seeking full 871(m) model validation — that’s a separate program.

How it works (remote-first)

1. Kick-off (45–60 min): products, systems, known exposures, filing calendars.
2. Worksheet & data pull: populate QDD Scoping Worksheet; share sample trade attributes and any prior assessments.
3. Assessment: activity profile, 871(m) identification logic, calc/reporting capabilities, governance, and evidencing.
4. Decision memo: yes/no on QDD, rationale, and minimal control plan with pragmatic steps & owners.

What you get

• QDD yes/no decision with bank-specific reasoning.
• Exposure summary (volume & notional; where 871(m) could arise).
• Gaps & guidance across identification, calculation, reporting, reconciliations, governance.
• Minimal control roadmap (6–12 months) with owners & milestones.
• Optional: follow-on build of controls, validations & reporting.

Fixed-fee range

We confirm a firm fixed fee after a short scoping call.

Reviewer-ready by design

• Decision memo suitable for QI periodic review context and RO brief.
• Clear documentation of assumptions, boundaries, and evidence sources.
• Roadmap aligns to control calendar & KRIs if QDD is pursued.

Related resources

• QDD basics — scope, eligibility, 871(m)
• QI Periodic Review (independent)
• QI Withholding & 1042-S Hardening