Exam Preparation
Trust Exam Preparation for Licensed Fintechs
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 licensed fintechs.
Licensed Fintechs Exam Preparation Challenges
Managing licenses across 50+ jurisdictions
Tracking state-specific requirements
License renewal management
State examiner relationships
Scaling to new states efficiently
Examining Agencies
OCCFDICState banking regulators
Exam Frequency
Annual or every 18 months
Preparation Steps for Licensed Fintechs
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 Licensed Fintechs
State licensing and renewalBSA/AML programConsumer protectionState-specific disclosure requirementsExamination management
Frequently Asked Questions
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Transform Trust Exam Preparation for Your Licensed Fintech
See how licensed fintechs prepare for examinations in days, not weeks.