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sd-10-EFTA01372650Dept. of Justice

EFTA Document EFTA01372650

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Appendix E - MortgagelT Broker-applicants Assessment 1.1 Quarterly MortgagelT Broker-applicants AML/NCA File Assessment - Overview The GM AML Compliance Officer assigned to MortgagelT will conduct a Quarterly NCA File Assessment ("File Assessment") on 10 mortgage broker-applicants approved and funded by MortgagelT ('MIT") to evaluate the adequacy of the CIP performed. This quarterly File Assessment is designed to assess the CIP controls instituted by MortgagelT on brokers as well as any es

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Dept. of Justice
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sd-10-EFTA01372650
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