Specialized NDAs for fintech, banking, investment advisory, and fund relationships. Built for regulatory compliance from day one.
Choose the template that matches your relationship type
For fintech partnerships involving API access, payment processing integrations, and technology licensing. Addresses PCI-DSS and algorithm protection.
For banking relationships including correspondent banking, vendor evaluations, and technology partnerships. Includes BSA/AML and regulatory examination provisions.
For registered investment advisors, wealth managers, and financial planners. Protects client lists, investment strategies, and performance data.
For private equity, venture capital, and hedge fund relationships. Covers LP information, deal flow, carried interest, and fund document access.
Standard business NDAs often miss critical regulatory requirements
SEC, FINRA, OCC, and state regulators have examination authority that supersedes NDA restrictions. Proper carve-outs prevent compliance conflicts.
Dodd-Frank and SOX whistleblower provisions cannot be waived. NDAs must include explicit carve-outs or risk being unenforceable.
Rule 10b-5 considerations require careful handling of MNPI. NDAs should address trading restrictions and information barriers.
Gramm-Leach-Bliley, state privacy laws, and contractual obligations create overlapping confidentiality requirements.
OCC guidance on third-party risk management requires specific contractual provisions in banking relationships.
Investment advisors must disclose certain information on Form ADV, requiring NDA carve-outs for regulatory filings.
Interactive checklist for finance NDA compliance
Our comprehensive regulatory compliance page covers SEC, FINRA, OCC, and state securities law considerations. Includes an interactive checklist to ensure your NDA meets all requirements.
View Compliance Checklist →These NDA templates are provided for informational purposes and are not a substitute for legal advice. Financial services regulation is complex and varies by jurisdiction, entity type, and transaction structure. You should consult with a securities attorney before executing any NDA involving regulated financial services activities. The templates include common regulatory carve-outs but may not address all situations.