Shop program kits

Documentation and Tools Kit

The procedures and workbooks that show your core controls actually run.

$695

Per institution. Fintech or Bank edition. Includes 12 months of updates.

Buy Documentation Kit
Compare all 12 kits

What’s in the Documentation and Tools Kit

  • CIP/CDD/EDD, transaction monitoring, OFAC screening, and legal process procedures (the Bank edition adds CTR and cash)
  • BSA/AML and compliance risk assessment workbooks
  • Testing plan, transaction testing workpaper, and testing report
  • Issue, complaint, training, and regulatory change logs
  • Regulatory applicability matrix and third-party risk tiering
  • Board and committee compliance report
  • Sponsor bank obligations crosswalk (Fintech) or partner oversight workbook (Bank)

Every file, by edition

Where a bank and a fintech run a program differently, each edition has its own version of the document. Where the rule works the same way for both, one document covers both editions.

Fintech edition: 17 files

BSA/AML, sanctions, and fraud (5)

  • CIP, CDD, and EDD Procedure
  • Transaction Monitoring and UAR Procedure
  • OFAC and Sanctions Screening Procedure
  • Legal Process and Information Sharing Procedure
  • BSA/AML and Sanctions Risk Assessment Workbook

Tools and maps (12)

  • Board and Committee Compliance Report
  • Regulatory Applicability Matrix
  • Compliance Testing Plan
  • Transaction Testing Workpaper
  • Compliance Testing Report Template
  • Issue and Corrective Action Log
  • Training Matrix and Completion Tracker
  • Complaint Log and Root-Cause Taxonomy
  • Regulatory Change Log
  • Sponsor Bank Obligations Crosswalk
  • Compliance Risk Assessment Workbook
  • Third-Party Inventory and Risk Tiering
Bank edition: 18 files

BSA/AML, sanctions, and fraud (6)

  • CIP, CDD, and EDD Procedure
  • Transaction Monitoring and SAR Procedure
  • OFAC and Sanctions Screening Procedure
  • Legal Process and Information Sharing Procedure
  • Currency Transaction Reporting and Cash Procedure
  • BSA/AML and Sanctions Risk Assessment Workbook

Tools and maps (12)

  • Board and Committee Compliance Report
  • Regulatory Applicability Matrix
  • Compliance Testing Plan
  • Transaction Testing Workpaper
  • Compliance Testing Report Template
  • Issue and Corrective Action Log
  • Training Matrix and Completion Tracker
  • Complaint Log and Root-Cause Taxonomy
  • Regulatory Change Log
  • Fintech Partner Due Diligence and Monitoring Workbook
  • Compliance Risk Assessment Workbook
  • Third-Party Inventory and Risk Tiering

Kit facts

Documentation and Tools Kit: editions, files, formats, version, updates, license, and delivery
EditionsFintech and Bank editions. Choose the Fintech edition if a sponsor bank holds your accounts, cards, or loans; choose the Bank edition if your institution holds the charter, including banks that sponsor fintech programs. Credit unions use the Bank edition.
FilesFintech edition: 17 · Bank edition: 18
FormatsEditable Word and Excel files, with PDF reference copies. No macros, scripts, or links to outside data sources.
VersionVersion 1.0, regulatory content current as of October 2026.
Updates12 months of updates included. Each file shows the date its regulatory content is current through.
After the first yearUpdates continue at $104 a year (15% of the kit price). Automatic renewal is optional, chosen at checkout, and can be cancelled anytime. You keep the files either way.
LicenseOne institution, internal use. Edit the files, remove our branding, and share your adopted versions with your sponsor bank, examiners, and auditors. Read the Terms of Use and license.
DeliveryDownload right after checkout; the link is also sent by email. Card or invoice; see vendor information for procurement teams.
  • Secure checkout Payment is entered on Stripe’s encrypted checkout. Card and bank details never reach our servers.Powered by Stripe (opens in a new tab)
  • Immediate delivery Your download link appears right after checkout and is also sent by email.
  • Receipt and invoice Stripe emails a receipt and an invoice in your institution’s name for accounts payable.
  • Safe, standard files Word and Excel files with PDF copies. No macros, scripts, or links to outside data sources.
  • Edition replacement If you receive the wrong edition, email us within 30 days and we will send the correct one.

Not sure which kit fits?

Try the two free tools and the sample pages first, or ask about advisory support for a full program build.

Get the free tools
Ask about advisory