The playbook ensures founders don’t miss critical compliance areas.
Table of Contents
- Define Scope
- Gather Documentation
- Checklist & Regulatory Matrix
- Audit & Interview Process
- Prioritize & Remediate
- Conclusion
Define Scope {#define-scope}
- Product features
- Jurisdictions
- Customer type (retail, institutional)
- Token / AI processes
Gather Documentation {#gather}
- Policies, contracts, T&Cs, RoPA, DPIAs
- Bank and AML documents
- Vendor & API agreements
Checklist & Regulatory Matrix {#checklist}
- Cross-map each process to relevant regulations (GDPR, MiCA, DORA, AML)
- Highlight missing documents or unimplemented controls
Audit & Interview Process {#audit}
- Interview founders, ops, and developers
- Validate documentation vs actual practices
- Capture gaps in structured format
Prioritize & Remediate {#prioritize}
- Assign risk score & urgency
- Convert gaps into tasks
- Track evidence in central repository
Conclusion {#conclusion}
This playbook transforms compliance audits from reactive to proactive, giving investors confidence and regulators fewer headaches.
