Fintech Vendor Regulatory Assessment Form
Vendor Information
Company Name
Contact Person
Contact Email
Contact Phone
Registered Address
Country of Incorporation
Business Details
Nature of Services Provided
Years in Business
Total Employees
Regulatory Licenses Held
Compliance Information
Is your company compliant with relevant local, state, and federal regulations?
Yes
No
List Relevant Regulatory Bodies
Data Privacy & Protection Measures
Anti-Money Laundering (AML) & Know Your Customer (KYC) Procedures
Risk & Incident Management
Has your company experienced any regulatory breaches in the last 5 years?
No
Yes
If Yes, please describe
Describe Your Risk Management Framework
Incident Response Plan
Additional Information
Certifications or Third Party Audits
Other Relevant Information