QC and Compliance Roadshow
In your area
Walk through detailed analysis of your business process to determine which policies you need, what your investors and regulators want, and how to show you have control of your business.
- Quality Control Plans Acceptable to Investors
- Anti-Money Laundering Plans
- Information Security Plans (WISP, CISP)
- Audit Checklists for Regulators
- Compliance Plans and Procedures
- Loan Officer Comp, Privacy, Advertising, SAFE Act
- NMLS and HMDA Call Reporting
What you get
Each paid registrant receives a complete compliance and quality control template in word format, along with forms to use and customize as you see fit.
What you'll do
In real time, go through your policies and procedures, edit and apply to you existing software, investors and processes. Discuss compliance and QC issues with compliance professionals
What you walk away with
You will have a completely customized plan for your company for managing compliance, quality control, state examinations and license applications and investor applications.