Exam Preparation
Trust Exam Preparation for Financial Services
Trust examinations evaluate your fiduciary practices, account administration, and investment management. Canarie helps you maintain evidence of compliant trust operations throughout the examination cycle. Specifically tailored for the unique examination requirements facing financial services.
Financial Services Exam Preparation Challenges
Executing compliance work systematically
Capturing evidence automatically
Proving compliance happened
Managing recurring compliance tasks
Preparing for examinations
Examining Agencies
OCCFDICState banking regulators
Exam Frequency
Annual or every 18 months
Preparation Steps for Financial Services
1
Review trust policies and procedures2
Compile account administration evidence3
Document investment review activities4
Gather fee disclosure documentation5
Prepare conflict of interest reviews6
Document fiduciary decision-making7
Compile trust committee minutesEvidence Examiners Expect
Trust policies and procedures
Account acceptance documentation
Investment review records
Fee calculation and disclosure
Conflict of interest documentation
Trust committee meeting minutes
Exception and override tracking
Related Compliance Areas for Financial Services
BSA/AMLConsumer protectionFair lendingData privacyRegulatory compliance
Frequently Asked Questions
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Transform Trust Exam Preparation for Your Financial Service
See how financial services prepare for examinations in days, not weeks.