Fintech Technology (FinTech) & Regulatory Technology (RegTech)

FinTech’s Can Count on Forvis Mazars.

The financial services industry continues to evolve as new software and innovative technologies converge to improve client interaction and their use of financial systems. Forvis Mazars has been educating, consulting, auditing, and advising FinTech’s since 2013 and has worked with a wide variety of lenders and their partnering financial institutions.

Forvis Mazars professionals possess the hands-on experience required to help you navigate the industry’s ever-changing compliance rules and regulations necessary for FinTech partners, investors, and regulatory agencies.

Forvis Mazars FinTech services include: Policy and Procedures, Lending, Credit Operations, Servicing, Compliance Management System (CMS), Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Fair Lending and Information Technology (IT).  Our reviews cover both commercial and consumer products. Forvis Mazars welcomes the opportunity to assist your institution.

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Upon engagement, Forvis Mazars can:

  • Work with your team to help develop the Compliance Management Program policies necessary to partner with a federally regulated institution
  • Provide audit and review services to help you promote and validate effective compliance controls and monitoring for your lending platform
  • Help documenting an appropriate Compliance Management Program (CMP), record corrective actions taken on identified issues, and confirm such action is sustained over a period of time

The Specifics:

Please click here to obtain an Executive Summary of our approach. This document outlines in detail the phases and provides an overview of our services designed specifically for online lenders.

  • Compliance Management Program (CMP) Policies Review – Completed prior to going live
  • Information Technology and Information Security Policies and Program, Business Continuity Plan, Audit, Vulnerability Testing, and Social Engineering – Work begins prior to going live and continues throughout engagement

  • Lending Review (Transactional Testing) for Compliance with Applicable Lending Rules and Regulations – Normally conducted within 60 days of going live; may be accelerated or delayed based on volume
  • Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Independent Review – Normally conducted concurrent with transactional testing
  • Annual Review – This review combines the necessary components listed above at the one-year point
  • Fair Lending/Non-Discrimination Analysis

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