If your Compliance Program is older than 2014, is what you would consider marginal, or is made up of cut-and-paste, you need to take this last opportunity before 2015 ends to get a fully compliant program into motion.
As you renew your NMLS licenses your Company’s financial reports require you to certify that your compliance program is up to date and remain a priority of management.
If you are still unsure of what is frequently audited, we have developed an audit checklist for your use. Our checklist is current as of November. Some states have expanded on it but this is what we could consider to be a safe minimum amount of preparation.
We recently expanded staff and can guarantee that any new client who contacts us this week will have the tools to be compliant by the Holidays.
Please let us hear from you. You don’t have to keep worrying about this and you don’t have to suffer the results of a bad audit.
To receive a copy of our Audit Checklist, CLICK HERE.
To call us, dial (800) 656-4584 anytime. Thanks.
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