FinTech Compliance Documentation Template
1. Company Information
Company Name
Business Address
Contact Information
Date Established
2. Compliance Officer Details
Name
Email
Phone
3. Regulatory Licenses and Registrations
License/Registration
Issuing Authority
Issued Date
Expiration Date
Status
4. Risk Assessment
Summary of identified risks
Actions taken to mitigate risks
5. Policies and Procedures
AML (Anti-Money Laundering) Policy
KYC (Know Your Customer) Procedures
Data Privacy Policy
Transaction Monitoring Policy
Record-Keeping Procedures
Summary/Link/Location of Documented Policies
6. Training Records
Employee Name
Training Completed
Date
Trainer
7. Audit and Review
Date of Last Internal Compliance Audit
Findings & Actions Taken
8. Incident Reporting
Incident
Date
Description
Action Taken
9. Regulatory Communication Log
Date
Regulatory Body
Summary of Communication
10. Sign-Off and Approval
Name
Position
Date