Promoting strength and fairness in
the financial services marketplace

  • Examination Information
    • Common Recommendations
    • Common Violations
    • Disclosures
    • Document Retention and Destruction
    • Examination Tips

Examination Tips

The following items should be included in a licensee’s examination procedures:
  • Complete the Management Questionnaire, upload requested documentation, and respond to examiner requests by the indicated due date. Ask clarifying questions if the request is unclear. Provide the examiner with adequate and private workspace.
  • Introduce examiner to key personnel in the office who can assist and who will be available to answer questions that may arise.
  • Provide the examiner a tour of the location, including secure file storage.
  • Immediately notify the examiner of any office or branch closings.
  • Have all company licenses, loan originator licenses, and Federal Housing Act poster displayed in clear public view.
  • Submit all loan files in a consistent stacking order.
  • Ask questions. One of our responsibilities as mortgage examiners is to assist licensees with maintaining compliance.