BROKER DETAILS

Broker Name

Company Name

Loan TypePurchaseInvestmentRefinanceTop Up

LOAN DETAILS

Client One

Client Two

COMPLIANCE DOCUMENTS

Is there a completed Credit Guide and Privacy Consent Statement signed by the clients on file?

Yes

No

N/A

Comments

Is there a completed Client Profile and Recommendation (CPR) on file?

Yes

No

N/A

Comment

Is the Client Profile and Recommendation signed by the broker and the customer?

Yes

No

N/A

Comment

Is the date on the CPR no older than 90 days?

Yes

No

N/A

Comment

Is there a 3-lender product comparison showing in the CRP? If not, are there notes as to why not?

Yes

No

N/A

Comment

Is the product chosen on the completed and signed Client Profile and Recommendation consistent with one of the Lenders on the product provided in the comparison section?

Yes

No

N/A

Comment

Are all the fee sections completed on the CPR completed? If they are not complete, comment on what is missing.

Yes

No

N/A

Comment

Is there a completed Credit Guide and Privacy Consent Statement signed by the clients on file?

Yes

No

N/A

Comment

Is there a fully completed Client Profile? Are all sections of the form completed?

Yes

No

N/A

Comment

Is the date on the Client Profile no older than 90 days?

Yes

No

N/A

Comment

Is there a product comparison report showing a minimum of 3 loan providers held on file? (If not, is there a diary note explaining why not or why there is less than 3 Lenders)

Yes

No

N/A

Comment

Is there a fully completed Preliminary Assessment? Has it been signed and dated by the broker & the clients?

Yes

No

N/A

Comment

Is there a fully completed Credit Proposal/Recommendation? Has it been signed by the broker and the clients?

Yes

No

N/A

Comment

Is the product chosen on the completed and signed Credit Proposal/Recommendation consistent with one of the Lenders on the product comparison report?

Yes

No

N/A

Comment

Are all the fee sections completed on the Credit Proposal/ Recommendation?

Yes

No

N/A

Comment

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