I'm looking for SAFE Act Audit procedures. Anyone have any they would like to share?

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.

Also looking for input on what should be in the audit. If anyone is willing to share, its appreciated!

I would also be interested. Thanks!

Send me a PM and I can help.

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?

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.