Regulatory Compliance Annual Checklist

Complete this checklist to verify all regulatory requirements have been met. Complete by 3/31 of each year, begin by 12/1 of each period.

Name
First Last
Did you review the AML Policy and Update it?*
- Yes
Date AML Update
MM slash DD slash YYYY
Did a designee/employee complete the AML independent testing?*
- Yes
http://cranbrookloans.com/aml_independent_testing/
Date AML Independent Testing
MM slash DD slash YYYY
Did you review the Identity Theft Red Flags Policy and Update it?*
- Yes
Date Identity Theft Red Flags Policy
MM slash DD slash YYYY
Did a designee/employee complete the Identity Theft Red Flags testing of all service providers and company?*
- Yes
complete the testing on all service providers and Cranbrook loans too. http://www.cranbrookloans.com/identity-theft-red-flags-rule-checklist/
Date Identity Theft Red Flags Testing
MM slash DD slash YYYY
Did you review the Information Security Policy and Update it?*
- Yes
Date Information Security Policy Update
MM slash DD slash YYYY
Did a designee/employee complete the Information Security Internal Audit?*
- Yes
http://cranbrookloans.com/information-security-internal-audit/
Date Information Security Internal Audit
MM slash DD slash YYYY