Exam and Board Readiness Kit
When an exam or sponsor bank review is scheduled, the first request list asks for your committee structure, board reporting, risk assessment, testing, and proof that findings get closed. This kit covers each of those, plus the policy for running the exam itself, from the request list to closed findings.
$895
Per institution. Fintech or Bank edition. Includes 12 months of updates.
FintechBankExam and Board Readiness Kit
DOCXXLSXPDF
What’s in the Exam and Board Readiness Kit
- Exam and review management policy (Bank: regulatory examination management): preparation, document production, findings, responses, and confidential supervisory information
- Compliance committee charter and a board and committee compliance report
- Compliance risk assessment policy and workbook
- Compliance monitoring and testing policy, testing plan, and testing report template
- Issue management and corrective action policy with an issue log, and a regulatory change log
- Fintech edition adds the sponsor bank due diligence response binder
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: 12 files
Governance and compliance management (5)
- Compliance Committee Charter
- Compliance Risk Assessment Policy
- Compliance Monitoring and Testing Policy
- Issue Management and Corrective Action Policy
- Exam and Review Management Policy
Tools and maps (7)
- Board and Committee Compliance Report
- Compliance Testing Plan
- Compliance Testing Report Template
- Issue and Corrective Action Log
- Regulatory Change Log
- Compliance Risk Assessment Workbook
- Sponsor Bank Due Diligence Response Binder
Bank edition: 11 files
Governance and compliance management (5)
- Compliance Committee Charter
- Compliance Risk Assessment Policy
- Compliance Monitoring and Testing Policy
- Issue Management and Corrective Action Policy
- Regulatory Examination Management Policy
Tools and maps (6)
- Board and Committee Compliance Report
- Compliance Testing Plan
- Compliance Testing Report Template
- Issue and Corrective Action Log
- Regulatory Change Log
- Compliance Risk Assessment Workbook
Kit facts
| Editions | Fintech 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. |
|---|---|
| Files | Fintech edition: 12 · Bank edition: 11 |
| Formats | Editable Word and Excel files, with PDF reference copies. No macros, scripts, or links to outside data sources. |
| Version | Version 1.0, regulatory content current as of October 2026. |
| Updates | 12 months of updates included. Each file shows the date its regulatory content is current through. |
| After the first year | Updates continue at $134 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. |
| License | One 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. |
| Delivery | Download 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.
(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.