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On the Document Request for our upcoming compliance exam, under Compliance Management there are two sections that I would like some clarification on. 1) Internal Monitoring, the other 2) Periodic Independent Testing. For internal monitoring they are asking for checklists and a schedule. I am inclined to believe they are wanting to see checklist we use to ensure we are complying with the regs…i.e. flood insurance calcualtion worksheets, Reg Z and HOEPA worksheets, etc. I have no idea what they want as far as a schedule ❗ The 2nd (Periodic Testing) would be the actual audits performed? ❓
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