Compliance on Demand

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• Compliance on Demand

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Introduction

• ComplianceKeeper is a web-based Licensing and
  Learning Management System (LLMS), that allows
  users to manage all Company, Branch and Officer
  compliance end education license data.
• ComplianceKeeper has developed a single source
  database toll to help manage the everincreasing
  regulatory and education requirements nationwide.
  Through our interactive compliance platform,
  ComplianceKeeper has developed a proprietary
  tracking and automated triggering system (ATS)
  that allows mortgage companies of any size to use
  a single source database to maintain regulatory
  compliance throughout the United States.

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Features

• Automatic e-mail triggering system (ATS) to
  notify Branches and Officers of upcoming license
  and education renewal deadlines.
• Track all levels of the mortgage license and
  education compliance Process.
• Organize and create a single source company
  database online no more working with
  spreadsheets that require too much of your time
  to maintain and track.
• Easily upload your existing data base using our
  provided CSV template.
• Securely access your data anywhere anytime.
• Multiple levels of data access for your Company
  v.s. Branch administrators.
• Searching your ComplianceKeeper database is fast
  and easy ComplianceKeeper offers extensive
  filtering tools to search your data base and
  create custom reports.
• Broadcast e-mails with attachments to filtered
  lists that you create.
• Flexible pricing structure one of five levels
  will certainly meet your companys needs.

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Security Features

• ComplianceKeeper is hosted on a server protected
  by dual Cisco PIX firewalls, communication with
  users is through a 128 bit encrypted SSL
  connection. Administrative access is password
  protected and SSL encrypted

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Multiple Access Levels

• Corporate Administrator
• Priority password access to all areas of the
  site
• Branch Administrator
• Password access will grant access to only those
  areas relating to their specific branch

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Home Page
Personalized
Menu banner
Renewal alerts
Event Calendar
Pending Licenses
Active licenses
Document tracking
Education alerts
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Tracking Features

• Comprehensive tool capable of monitoring each
  aspect of the licensing and education process
  including
• License Renewal Alerts
• License Pending
• Active Licenses
• Education Renewal Alerts
• Event Calendar
• Document Tracking
• Company Profile
• Branch Profile

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Triggering Features

• Interactive desktop screen allows instant access
  to the status of expiring licenses and education
  completion dates
• License renewal alerts
• Education renewal alerts

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Triggering Featurescontinued

• License renewal alerts
• Alerts provided for three ranges 90, 60 and 30
  days
• Itemized total of licenses in each range
• New License entering range
• VIEW LIST button for expanded detail about
  each expiring license
• Search function for locating individual licenses

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Triggering Featurescontinued

• Education renewal alerts
• Alerts provided for three ranges 90, 60 and 30
  days
• Itemized total of licenses in each range
• New item entering range
• VIEW LIST button for expanded detail about
  each expiring education requirements
• Search function for locating and individual
  license

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Tracking Featurescontinued

• License Pending
• Lists total number of licenses
• Provides a view list button for more detailed
  information about each pending license
• Search function for locating individual licenses
• Pending Licenses with application date entered
  automatically
• populates Document Tracking field

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Tracking Featurescontinued

• Document Tracking
• Document titles can be entered with reference
  dates and status
• Documents listed in chronological order
• After License status is changed to Active,
  License will populate
• the Active License field

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Tracking Featurescontinued

• Active Licenses
• Lists total number of licenses
• Provides a view list button for more detailed
  information about each active license
• Search function for locating individual licenses

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Tracking Featurescontinued

• Events Calendar
• Related events can be entered onto calendar
• Events can be linked to web sites
• Event notification can be forwarded to multiple
  e-mail accounts
• Filters can be applied to search for specific
  events i.e. active or past events, by date, city,
  or by state
• Graphic images can be linked to and displayed
  with the event

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Company Profile

• Company Profile
• Complete outline of company data
• List of all company licenses with type, date and
  expiration date
• List all company notes with the posted user

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Course Page

• Maintain courses with complete reference profile
  
• Add courses and all related data
• Search and list courses

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Provider Page

• Maintain and modify course providers
• Add and modify third party education Providers
• Search and list Providers

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Administrator Page

• Maintain and modify company administrators
• Add unlimited number of Administrator as well as
  define access data levels
• Search and list all current administrators
  entered under company

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ATSTriggering set up

• Auto-Triggering system
• Automatic e-mail generation on designated dates
  for contacting branches and loan officers with
  information on renewal deadlines
• E-mail notification content can be modified by
  your in-house administration

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E-mail log

• All e-mail sent thru the ATS as well as
  generated in the reports and officer section are
  archived. This toll help you search for sent
  e-mails by name, subject or date ranges.

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Branch Profile

• Branches
• List of all the branches under the current
  company
• Lists branch profile
• Lists of all licenses under a specific branch
• List of all related notes
• List of branch officers

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Officer Profile

• Loan Officers
• List of all officers under that company and or
  branch
• Excel (CSV) data upload for officers
• Excel (CSV) data upload for course roster
• E-mail link for notifications
• Detail profile of loan officer
• Detail of licenses held by officer
• Notes attached to officer
• Education history of officer, detail of course,
  course provider, date, hours required, expiration
  date and certificate

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Data Upload

• EXCEL compatible (CSV) template provided for
  upload of company, branch, officer and roster data

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Reporting Features

• You have the ability to search data and create
  reports through your flexible combination of data
  filters
• Name
• State
• Course
• Credit Hours
• License number
• License status
• SS
• Branch
• Branch Admin
• Course Provider
• License Expiration from
• License Expiring to

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E-mail

• Create custom lists for mass e-mail broadcasting
  compiled from the same report filtering tools

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States Regulatory Data

• Provides a detailed list of state regulatory
  requirements and contact information for each
  state agency

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State Education Deadlines

• This section is designed to be a short list or
  reference area for specific course deadlines.
  List can be tailored to show only those states
  pertaining affecting your companies compliance.

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Technical Support

• Unlimited technical support
• Initial data upload within 24 hours from receipt
  of payment
• Password granted / login information

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Supplemental Feature

• Education credits completed through our
  education partner TrainingPro, will automatically
  populate the Compliance Keeper education data base

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Why an Internet based Solution?

• Unlimited access
• ComplianceKeeper is instantly available no
  downloading or installation is needed. Easy to
  deliver, maintain and support.
• Upgrades Included
• All upgrades are included in the subscription
  price no extra charge for new features.
• Program can be used across multiple platforms
• As a web-based product, ComplianceKeeper is
  available to users across various platforms
  including Windows, Mac, Unix etc.
• Easy to deliver upgrades
• The latest upgrades are loaded on the
  ComplianceKeeper server all users automatically
  have access to the most recent version.
• Program is available from anywhere
• One central home for all your information,
  authorized users may access the program from
  anywhere anytime no extra charge or tracking
  hassle.

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The Key

• The key measure of our success is our customers
  success. ComplianceKeeper is dedicated to
  ensuring your ComplianceKeeper investment
  delivers outstanding business results. We work
  closely with you to combine strategy, data,
  people, processes, and technology to build your
  business through the management of your
  compliance related data.