Exam Preparation
Safety & Soundness Exam Preparation for Fintech
Safety and soundness examinations evaluate your institution's financial condition, risk management, and operational practices. Canarie helps you maintain evidence of governance, risk management activities, and control effectiveness throughout the examination cycle. Specifically tailored for the unique examination requirements facing fintech.
Fintech Exam Preparation Challenges
Building compliance programs from scratch
Meeting sponsor bank requirements
Preparing for potential direct regulation
Scaling compliance with rapid growth
Managing multi-state licensing
Examining Agencies
FDICOCCFederal ReserveNCUA
Exam Frequency
Annual for most institutions
Preparation Steps for Fintech
1
Update enterprise risk assessment2
Compile board and committee minutes3
Gather audit and examination follow-up evidence4
Document policy review completions5
Prepare capital and liquidity documentation6
Compile internal control testing results7
Document vendor management activitiesEvidence Examiners Expect
Board and committee meeting minutes
Enterprise risk assessment
Audit findings and remediation tracking
Policy attestations and reviews
Capital planning documentation
Internal control testing results
Vendor due diligence records
Related Compliance Areas for Fintech
BSA/AML programConsumer protectionData privacyThird-party risk managementState licensing
Frequently Asked Questions
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Transform Safety & Soundness Exam Preparation for Your Fintech
See how fintech prepare for examinations in days, not weeks.