Whether you’re a bank, fintech, or BaaS provider, this compliance checklist outlines specific areas of consideration for regulatory compliance and mitigating risk.
Table of Contents
Third-Party Risk ManagementDue DiligenceCompliance Management System Documentation and ReportingCompliance as a Competitive Advantage
Organizations should consider implementing the following when building out a third-party risk management process.
Organizations should consider the following when carrying out due diligence activities.
Organizations should ensure the following when building out a robust compliance management system.
Organizations should have the following documentation and reports available for regulators.
Whether you’re a bank, fintech, or BaaS provider, prioritizing compliance oversight is critical to managing risk with third-party relationships and for gaining a competitive advantage.
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