Exam Preparation
Trust Exam Preparation for Fintech
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 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
OCCFDICState banking regulators
Exam Frequency
Annual or every 18 months
Preparation Steps for Fintech
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 Fintech
BSA/AML programConsumer protectionData privacyThird-party risk managementState licensing
Frequently Asked Questions
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Transform Trust Exam Preparation for Your Fintech
See how fintech prepare for examinations in days, not weeks.