Nevada Audit Preparation

5/1/16 Update - NEVADA NO LONGER REQUIRING BROKERS TO HAVE A VENDOR MANAGEMENT POLICY OR PROCEDURE

While neighboring California's audits of mortgage brokers can be quite perfunctory, Nevada has devoted substantial time in refining its examination process. 

​In addition, while very specific, the examiner's request do not normally provide a great deal of advance notice. 

Finally, please note that Nevada does not hesitate to censure or issue a cease and desist for non-compliance. 

Nevada Audit Requirements
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Nevada requirements include:

• Training Policy & Procedure
• Quality Control
• Anti-Money Laundering
• ID Theft and FACTA
• SAFE Act Policy​