The Final Tape
Trading Compliance Checklist Template
Per-trade rule adherence, scoring rubric, weekly compliance tracker, and breach notes
Example setup rules
| Type | Rule |
|---|---|
| Hard / mandatory | Risk ≤ 1% of account on this trade |
| Hard / mandatory | Higher timeframe trend confirmed in trade direction |
| Hard / mandatory | No high-impact news within 60 minutes of entry |
| Hard / mandatory | Planned R:R ≥ 2.5:1 at entry |
| Flexible | No adding to losers |
| Flexible | Stop moved to breakeven at +1R |
| Flexible | Pre-entry checklist completed before order |
| Flexible | No revenge entry after prior session loser |
Scoring rubric (Green / Amber / Red)
| Band | Compliance % | Meaning |
|---|---|---|
| Green | 80–100% | All mandatory rules satisfied; process intact |
| Amber | 50–79% | Minor flexible-rule breaches — review notes |
| Red | <50% | Multiple violations — tag and review for impulsive entries |
Per-trade compliance log
- Date + setup name + symbol + direction
- Mandatory rules — tick each (Y/N)
- Flexible rules — tick each (Y/N)
- Compliance % = rules satisfied ÷ total rules
- Score band: Green / Amber / Red
- Per-rule breach notes (one sentence each)
- Realized R + outcome (for weekly correlation)
Weekly compliance tracker (sample)
| Day | Setup | Compliance | Band | R | Breach notes |
|---|---|---|---|---|---|
| Mon | ORB Long ES | 92% | Green | +1.2R | None |
| Tue | MR Short NQ | 58% | Amber | –0.5R | Skipped HTF confirm — FOMO |
| Wed | ORB Long ES | 42% | Red | –1.0R | News filter + revenge after Tue |
Weekly review steps
- Filter last 20 completed trades with compliance scores
- Compute avg R by Green vs Amber vs Red buckets
- Rank top violated rule by frequency × R damage
- Group violations by session, regime, or post-loser context
- Write one testable rule change for next week
- Remove one dead-weight rule or enforce one high-damage rule
1% rule for prop traders: The 1% Rule Is Not Optional
Journal schema: Why Your Trading Journal Is Lying to You
Kill List workflow: AI Council and the Kill List
Full lesson: Lesson 9 — The Compliance Checklist
Auto compliance scoring in the app: Try The Final Tape free