Compliance Risk Assessment

This survey is for marketing purposes only and is not intended as a replacement or substitute for an actual audit or analysis of a company's compliance management system. Rather, it is intended for marketing purposes only to identify the frequency and extent of certain violations and improper practices that we often find are indicative of other violations. Nonetheless, every lender should at least annually extensively review their compliance management system to ensure it is up to date, functional and meets the CFPB's requirements and the results of this survey should be given no weight in connection with an actual assessment.