Emily Chen · Compliance - Eastern
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Fix returned items
Brokerage review
Compliance checks the file
Funding confirmed
Commission confirmed
Paid
Expected Fri, Dec 4
Full Compliance Package
AcceptedApplicant IDRequired
AcceptedPremiere Client ConsentRequired
AcceptedMaterial Risks
AcceptedAmortization Schedule - Initialed Complete
AcceptedProof of Insurance Offer (Acceptance OR Waiver) Complete
AcceptedSigned Mortgage Commitment / Approval
AcceptedProvincial Disclosure Form
ReturnedSent back: 7 of 8 in. The signed Form 1 disclosure is missing.
FINTRACRequired
ReturnedSent back: No FINTRAC identification or third-party record. The deal was entered by hand, so nothing came across from BrokerPlus.
Know Your Client FormRequired
AcceptedMarked not applicable by the agent: Lender Prepayment and Penalty Calculation Addendum, NB Fixed Credit Disclosure (COCD).