Data Room Builder
Sector packs template

Financial Services Data Room Checklist Template

A sector-tuned index for financial services deals: the industry-specific folders diligence teams expect alongside the standard corporate stack.

Download Excel template Download CSV Generate this structure in the builder

Spreadsheet preview

Folder index rows

01 Regulatory / 01.01 Licences and correspondence
02 Prudential / 02.01 Capital and liquidity
03 Compliance / 03.01 Financial crime
04 Book / 04.01 Portfolio data
05 Conduct / 05.01 Complaints and remediation
06 Technology / 06.01 Core systems
07 Change of Control / 07.01 Approval pack

Use case

Financial Services transaction or investment diligence

Download the CSV, open it in Excel or Google Sheets, customise the rows, then upload the finished index to Data Room Builder. The columns are intentionally simple: Level 1, Level 2, Level 3 and Notes.

Level 1Level 2Level 3Notes
01 Regulatory01.01 Licences and correspondence—Authorisations, regulator letters, s166-type reviews
02 Prudential02.01 Capital and liquidity—Returns, ICARA/ICAAP, stress tests
03 Compliance03.01 Financial crime—AML framework, KYC files sampling, SAR stats
04 Book04.01 Portfolio data—Loan/AUM tapes, arrears, concentrations
05 Conduct05.01 Complaints and remediation—Root-cause analysis, redress programmes
06 Technology06.01 Core systems—Platforms, outsourcing register, resilience tests
07 Change of Control07.01 Approval pack—Regulator change-of-control submissions

Implementation tips

  • Start from this sector pack, then merge the standard M&A folders your process needs.
  • Start the change-of-control regulatory pack on day one — it usually sets the closing date.
  • Number folders to mirror the buyer request list so tracing stays one-to-one.

FAQs

What makes FS deals slower?

Regulatory change-of-control approval; the room should carry the submission pack from the start.

What is sampled rather than read?

KYC files and loan files — diligence samples them, so provide clean extraction tooling.