In addition to answering a manager's questionnaire, the regulator may ask for documentation from your packages. How do I package that material?
Getting licensed in Arkansas as a lender or broker means providing a few documents that you probably already have
3 different questionnaires create a confusing myriad of responses
New York DFS is proud to provide a very challenging application process. If you use MortgageManuals products for your license application or audit, YOU MUST LET US KNOW BEFORE SENDING THEM IN.
Responding to a TN Regulatory Exam involves locating items in your Compliance Pack.
TX has one of the more transparent examination protocols. Read the Compliance Guide to prepare yourself. We can help with policies and procedures, as well as helping you stack your files. March 2024 - TX has transitioned to the State Examination System to manage questionnaires and submissions. Read our SES articles to understand this process.
Depending on your business model, some items requested will NOT APPLY (N/A)
Going through your materials and identifying what PA wants when they request documentation uploads
A very long, multi-section questionnaire makes this examination seem more daunting than it is.
California's Department of Financial Protection and Innovation's business plan request means answering some questions
Illinois' periodic examination requires you to answer questions in narrative format, instead of just providing policies and procedures. But you can save yourself some time by copying text or using exhibits from many of the modules.
Ohio has specific licensing requirements which are, at once, extremely specific and at the same time immensely general.
Ask the question, "What could go wrong?" and you have conducted a risk assessment.
A long, specific checklist identifies policies and procedures, but some elements are opaque
What are the regulators asking for in the NMLS licensing checklist?
Where are the NC Required Items in my plans?
We have received numerous requests from companies who are NOT under a current examination or have recently completed an exam to provide specific plans. Here are instructions for how to locate, extract, and give these SPECIFIC plans to the regulator.
New York regulators recommend having these assessments and tools regularly reviewed.
Completing the Manager's Questionnaire involves answering questions and preparing your policies and procedures. There are a few wrinkles.
New Focus on Cyber Security in SC Exam
Maryland has an extensive questionnaire with requests for many documents. Where are these documents in your manuals?
As with many "business plan" requirements, the regulator is really trying to answer a few questions, not an SBA-style business plan.
Georgia's recently begun processing exams through the State Examination System (SES) platform
It looks like "just send everything..." but closer review shows it's a specific set they are really interested in