For risk & compliance practitioners
Your next risk program starts here.
Excel frameworks grounded in SR 11-7, FFIEC, NIST AI RMF, and 20+ regulatory standards. Buy once, tailor to your program, deploy in days.
20+
Ready-to-deploy templates
$49–$79
Individual templates
20+
Regulatory standards covered
500+
Downloads
What makes these different
Grounded in regulatory guidance
Not someone's old employer's templates with the logo swapped out. Built on SR 11-7, FFIEC, OCC bulletins, and NIST AI RMF.
Deploy in days, not months
Fully editable Excel templates with pre-populated risk taxonomies, scoring models, and dashboards. Populate in an afternoon.
Price of a team lunch
Individual templates from $49. Bundles from $199. No subscriptions, no license restrictions. Buy once, use forever.
The 2025–2026 Risk & Compliance Landscape
Free Resources
Start here — frameworks and guides to get you going, no email required.
AI Risk Assessment Guide (Free)
A free introductory guide to AI risk assessment for financial services teams.
Issues Management Guide (Free)
A free introductory guide to building an effective issues management process.
Risk Register — Fintech Edition (Free)
141 pre-populated fintech risks across 21 categories. ISO 31000 structure. Ready to use in a week.
Threat Modeling for Agentic Payments (Free)
A 20,000-word whitepaper on threat modeling for AI-powered autonomous payment systems in financial services.
Need the full framework?
Templates & Toolkits
Reading about an enforcement action is step one. Having the right framework in place before the next exam is what actually matters.
Individual Templates
AI Risk Assessment Template & Guide
Comprehensive AI model governance and risk assessment templates for financial services teams.
Issues Management Tracker & Template
End-to-end issues tracking and remediation management for risk and compliance teams.
KRI Library (132 Key Risk Indicators)
132 KRIs with thresholds, data sources, and escalation triggers pre-built for financial services.
New Product Risk Assessment
Structured risk review process for new products, services, and business initiatives.
Financial Risk Management Kit
Credit risk, liquidity, concentration, and capital adequacy templates built for fintechs.
Loss Monitoring & Event Tracking Kit
Basel-aligned operational loss event tracking and root cause analysis for financial services.
RCSA (Risk & Control Self-Assessment)
141 pre-populated fintech risks with control assessments, questionnaire framework, and testing calendar.
Data Privacy Compliance Kit
Multi-state privacy compliance templates covering 19 state laws plus GLBA and CCPA.
Incident Response & Breach Notification Kit
Step-by-step incident response playbooks and breach notification templates for all 50 states.
Third-Party Risk Management (TPRM) Kit
Complete vendor risk management lifecycle from initial due diligence to ongoing oversight.
Enterprise Risk Management Framework (ERMF)
Complete ERM documentation: risk appetite, 3 Lines of Defense, committee charter, and board reporting.
SOC 2 Compliance Checklist
151 controls mapped to AICPA Trust Services Criteria with evidence collection guidance.
Business Continuity & Disaster Recovery (BCP/DR) Kit
BCP and DR templates with BIA, recovery procedures, and a standalone tabletop exercise kit.
Bundles
GRC Starter Kit
Everything a new compliance hire needs to build their first risk program — 6 products at 46% off.
Compliance Essentials
Multi-domain compliance coverage: data privacy, incident response, BCP/DR, and SOC 2 — 43% off.
Operational Risk Program
Build a complete ORM program: ERM framework, RCSA, loss monitoring, financial risk, and KRIs — 37% off.
Complete GRC Library
Every template in the library — all 14 products at 58% off individual prices.
What We're Tracking
SEC enforcement, DOJ settlements, AI regulation, and the frameworks that matter — updated daily.
College Student Stole $7M from Investors. The SEC's Case Against Krish Kumar Has Lessons for Every Investment Adviser.
SEC charged Tulsa college student Krish Kumar with misappropriating nearly $7M from two investment funds. Here's what compliance officers at investment advisers need to know.
Mar 28, 2026
Regulatory ComplianceDOJ Hits Atlanta Urology Practice With $14 Million False Claims Act Settlement — What Compliance Teams Should Learn
Advanced Urology and Dr. Jitesh Patel will pay $14M to settle DOJ allegations of fraudulent billing and unnecessary procedures. Key compliance takeaways inside.
Apr 2, 2026
Regulatory ComplianceA.G. Morgan Financial Advisors Fraud: Vincent Camarda Pleads Guilty to $160M Investment Adviser Scheme
Vincent Camarda of A.G. Morgan Financial Advisors pleads guilty to defrauding 400+ clients of $160M. What compliance professionals need to know about this investment adviser fraud case.
Apr 2, 2026
Regulatory ComplianceSEC Charges Jon Fullenkamp and Scott Sand in $2.6 Million Penny Stock Fraud Scheme
The SEC filed fraud charges against Jon Fullenkamp and Scott Sand for misappropriating millions through sham agreements and fraudulent preferred share issuances at two penny stock companies.
Mar 31, 2026
Regulatory ComplianceState AI Laws Tracker 2026: Every US AI Regulation You Need to Know
45 states have introduced 1,561 AI bills in 2026 — already surpassing 2024's full-year total. Colorado, Texas, and California are the three to watch. Every enacted state AI law, organized by what your compliance team actually needs to do.
Apr 2, 2026
AI RiskAI Model Inventory Management: What Examiners Ask For First (And What Banks Can't Find)
The first question your examiner will ask isn't about bias or governance — it's 'show me your model inventory.' Most banks can't. Here's the SR 11-7 fields examiners expect, how to find shadow AI, and the vendor tracking gap that gets flagged every time.
Mar 26, 2026
AI RiskAI and Fair Lending: UDAAP Risk in Algorithmic Decisioning
CFPB's UDAAP-as-discrimination gambit was vacated, but adverse action notice requirements still bite. Here's what AI lenders actually owe consumers in 2026.
Apr 13, 2026
Business ContinuityBIA Data Collection: Surveys vs. Interviews vs. Workshops
The method you choose for BIA data collection determines whether your RTOs reflect operational reality or wishful thinking. A practitioner's guide to surveys, interviews, and workshops — when each method works, where each fails, and how to combine them.
Apr 13, 2026
Regulatory ComplianceDOJ's New National Fraud Enforcement Division: What Compliance Programs Need to Know Now
The DOJ's NFED consolidates healthcare fraud, tax, and market fraud units under one command. Here's what changes for compliance officers and risk managers.
Apr 13, 2026
Business ContinuityHow to Present BIA Findings to the Board: Executive Summary and Business Case
A 47-page BIA full of RTOs and dependency tables won't get board buy-in for BCP investment. Here's how to translate BIA findings into an executive summary that drives decisions and satisfies FFIEC board reporting requirements.
Apr 13, 2026
AI RiskThird-Party AI Vendor Risk Assessment: Due Diligence Framework and Questionnaire
When a vendor deploys AI in the service they provide you, your institution's model risk responsibility doesn't disappear. Here's the due diligence framework, questionnaire areas, and contract provisions you need before deploying a vendor's AI.
Apr 13, 2026
Regulatory ComplianceCFPB Under the New Administration: What Changed and What Still Matters
The CFPB fired its director, dropped 40+ enforcement actions, and withdrew nearly 70 guidance documents. Here's what actually changed — and what compliance obligations remain regardless.
Apr 12, 2026
Regulatory Compliance54 Months for $98M ERC Fraud: The DOJ Sentencing That Should Trigger Your Internal Audit
A Las Vegas business owner just got 54 months in prison for filing 1,227 fraudulent ERC returns. If your company claimed the credit, here's what to do now.
Apr 10, 2026
Regulatory ComplianceHow a National Insurance Broker's Street Marketer Program Became a $160M ACA Fraud Machine
DOJ's $160M resolution with AssuredPartners and APSF for ACA enrollment fraud shows exactly what happens when broker compliance programs ignore third-party marketer risk.
Apr 9, 2026
Regulatory ComplianceSEC FY2025 Enforcement Report: The Lowest Case Count in 20 Years—and What It Actually Means for Your Program
SEC filed just 456 enforcement actions in FY2025—fewest in two decades. Here's what compliance officers must know about the SEC's priorities shift.
Apr 9, 2026
Regulatory ComplianceFinCEN's Record $80M BSA Fine Against Canaccord Genuity: Every Broker-Dealer's Wake-Up Call
FinCEN hit Canaccord Genuity with the largest-ever BSA penalty against a broker-dealer — $80M, coordinated with SEC and FINRA for $120M total. Here's what failed and what to fix now.
Apr 6, 2026
AI RiskCommon Regulatory Exam Findings on AI: Top Deficiencies and How to Fix Them
These are the AI governance deficiencies regulators are actually finding in exams — incomplete model inventories, missing validation records, unmanaged vendor AI — and what to do about each one.
Apr 12, 2026
AI RiskSR 11-7 for AI Systems: Applying Legacy Model Risk Guidance to LLMs
How to actually implement SR 11-7 for LLMs: model inventory, governance ownership, documentation standards, and validation scope for in-house and vendor AI.
Apr 12, 2026
AI RiskAI Governance Program Checklist: What Regulators Actually Test
When examiners evaluate your AI governance program, they're checking specific items. Here's the complete checklist — mapped to SR 11-7, OCC guidance, and the GAO's 2025 findings.
Apr 11, 2026
AI RiskLLM Model Risk Assessment: What MRM Teams Actually Need to Test
SR 11-7 wasn't written for language models. Here's what model risk management teams actually need to test for LLMs and generative AI—hallucination evaluation, red-teaming, adversarial testing, and continuous drift monitoring.
Apr 10, 2026
Business ContinuityIdentifying Critical Business Functions: A Practitioner's Scoring Framework
A step-by-step scoring methodology for identifying and tiering critical business functions in your BIA — with impact dimensions, scoring criteria, and real financial services examples.
Apr 12, 2026
Business ContinuitySetting RTO and RPO: How to Quantify and Defend Your Recovery Objectives
How to derive RTO and RPO from real BIA data, set defensible numbers using the MTD hierarchy, and pass FFIEC examiner scrutiny on recovery objective methodology.
Apr 12, 2026
Business ContinuityHow to Conduct a Business Impact Analysis: Step-by-Step Methodology
A practitioner's guide to running a business impact analysis that satisfies FFIEC examiners and ISO 22301 requirements—from scoping and data collection through RTO/RPO setting, dependency mapping, and board reporting.
Apr 10, 2026
Business ContinuityAI and Business Continuity: How to Plan for AI System Failures and Model Risk
AI systems fail differently than traditional IT. Here's how to build AI failure scenarios into your BCP, set recovery objectives for models, and satisfy emerging regulatory requirements on AI resilience.
Apr 9, 2026
Why this exists
Every risk and compliance professional has done it: you join a new team, get asked to build a program from scratch, and end up calling a friend at your old company for their templates. Or a consultant brings in frameworks recycled from another client. The result? Documents that don't quite fit and no confidence they'll hold up under regulatory scrutiny.
So I started publishing the analysis I wish I'd had — enforcement breakdowns, regulatory deep dives, practical frameworks — and building the templates on actual regulatory guidance. The intelligence keeps you informed. The templates let you act on it.
Immaterial Findings ✉️
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