Fintech Toolkit · Records Management Dashboard

Records Management & Retention Toolkit

A 13-module operator dashboard for fintech records management programmes. Retention schedule by category, books-and-records compliance (BSA / SEC / FINRA / state), e-discovery readiness, legal-hold management, deletion workflow, vendor records, electronic communications, audit trails, programme audit. Single HTML. Runs offline. Owned forever.

"In examinations, the firm that produces the right record fast wins. The firm that produces the wrong record, or the right record late, loses. Retention discipline is examination strategy run forward."

What's inside

Programme Framework

Scope · ownership · 3 lines · governance

Retention Schedule

Live JS · per-category · regulator overlay · destroy date

Books-and-Records

BSA · SEC · FINRA · state · sector overlays

Electronic Comms

Email · IM · Slack · Teams · WhatsApp · SMS

Vendor Records

DD · contracts · sub-processors · termination evidence

Customer Records

Onboarding · KYC · CDD · transactions · disclosures

Audit Trails

Access logs · change logs · admin actions · retention

Legal Holds

Trigger · scope · custodian list · release · audit

E-Discovery

Producible inventory · search readiness · counsel-led

Deletion Workflow

Triggered · validated · backups + sub-processors covered

Storage Architecture

Tiering · WORM · encryption · cross-region · sovereignty

Programme Audit

Annual · sample · spot-check producibility

Committee Charter

CCO chair · counsel · CISO · CTO · cadence · authority

Built for

CCOs / Heads of Compliance at fintechs
General Counsel and litigation-readiness leads
CISOs accountable for storage architecture and access controls
Internal Audit teams testing records-management effectiveness
Independent records-management consultants

Format + licence

Single HTML file. Runs offline. Editable. Print-friendly.
1 working JS calculator (per-category retention period calculator with regulator overlay).
Single-organisation licence. Methodology output yours to keep.
14-day satisfaction guarantee.

Owned forever · paid once

$497 USD

Buy now · $497

Stripe checkout. Single HTML file emailed within 1 business hour.

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