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#1492411 - 01/10/11 04:48 PM SAFE Act Audit Procedures
FSBT Offline
100 Club
Joined: Apr 2002
Posts: 109
I'm looking for SAFE Act Audit procedures. Anyone have any they would like to share?

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#1598830 - 08/31/11 07:30 PM Re: SAFE Act Audit Procedures FSBT
J Bean Offline
New Poster
Joined: Sep 2010
Posts: 4
I also was looking to see if anyone had developed their annual compliance testing procedures.

Thanks in advance if anyone has any they can share.

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#1611290 - 09/30/11 06:28 PM Re: SAFE Act Audit Procedures J Bean
More Changes?!? Offline
Joined: Dec 2007
Posts: 98
Also looking for input on what should be in the audit. If anyone is willing to share, its appreciated!

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#1622186 - 10/31/11 05:13 PM Re: SAFE Act Audit Procedures More Changes?!?
Valley Girl Offline
100 Club
Joined: Feb 2008
Posts: 142
I would also be interested. Thanks!

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#1622291 - 10/31/11 07:02 PM Re: SAFE Act Audit Procedures Valley Girl
osucpa Offline
Diamond Poster
Joined: May 2011
Posts: 1,402
Send me a PM and I can help.

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#1622657 - 11/01/11 03:32 PM Re: SAFE Act Audit Procedures osucpa
Matt_B Offline
Diamond Poster
Joined: Sep 2011
Posts: 1,648
A CU, Where Regs Don't Apply
As a part of my auditing, I'm requiring everyone review their information during the renewal period each year. I'm debating the usefulness of a sort of "secret shopper" means of ensuring that MLO's are providing their number as expected, but not sure if that's excessive or if management would think it unnecessary. Anyone doing anything like that?
Someone's about to get horned!

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#1623095 - 11/02/11 01:52 AM Re: SAFE Act Audit Procedures Matt_B
Dani York, CRCM Offline
Power Poster
Dani York, CRCM
Joined: Apr 2005
Posts: 3,663
I'm not going to secret shop. But I am going to send out some kind of generic email that requires a response to verify that all have added to email signatures (one of our procedural measures) and grab a business card from everyone's desk to ensure they are using stock with the number on it.
I can't herd the cats anymore, so I just set up the electric fences and let them fry when they stray out of bounds.

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