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AML Compliance requires 4 things - 1.) AML Officer (that's you), 2.) Compliance Plan (your 1-70 BSA AML Plan) 3.) Annual Training, and 4.) Independent Review
What documents do we keep after a file closes? Can I just get a printout from my lender?
Georgia's recently begun processing exams through the State Examination System (SES) platform
The SES (State Examination System) automates audits SA's (Supervisory Activity). Here's how to add a user to your SA
We have provided specific instructions in the Audit Engagement letter, but this Video Training Course will help you understand how to complete the questionnaire for a speedy and accurate Independent Audit Report.
In addition to answering a manager's questionnaire, the regulator may ask for documentation from your packages. How do I package that material?
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.
It looks like "just send everything..." but closer review shows it's a specific set they are really interested in
Completing the Manager's Questionnaire involves answering questions and preparing your policies and procedures. There are a few wrinkles.
New York Brokers are getting examination requests in droves. Here's what to expect and how we can help.
Where are the NC Required Items in my plans?
A very long, multi-section questionnaire makes this examination seem more daunting than it is.
Going through your materials and identifying what PA wants when they request documentation uploads
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.
Understanding where your policies and procedures meet the VA SCC examination for brokers and lenders. Updates to cybersecurity regulations add specificity to Virginia's request