Fintech Vendor Regulatory Compliance Checklist

Vendor Name
Contact Person
Date of Assessment

Regulation/Standard	In Scope?	Notes
GDPR
GLBA
PCI DSS
SOX
Other

Requirement	Compliant	Documentation	Reviewer Notes
Due Diligence Performed
Data Privacy Controls
Information Security Controls
Incident Response Procedures
Regulatory Reporting Capabilities
Subcontractor Management
Periodic Review Frequency

Name
Signature
Date