When do I have to do Compliance Audits? What audits are required?

Depending on the scope of your business, (e.g.; lender, non-delegated or broker) you have different audits required. Customize the list we provide in your Compliance Manager Duties.

Last updated on 23 Feb, 2026

If you are not a direct lender, your intervals will be substantially reduced to "annually" or every 12-18 months. But you should review the following critical areas.

From 2-0 Compliance Manual > 2-01 Compliance Manager's Duties

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When do my employees and I have to do the required compliance training?