investigative flow chart- c s b s（调查流程图- c b年代）.docVIP

General Processing Create a personal work folder: A. Pull from NMLS the necessary information a. Personal Information b. Snapshot and/or MU4 (loan originator) or MU2 (officer’s/office supervisor of company) c. Contact information d. Task – Worklist – Insert individual’s number and print off regular work list which has the license requested date it was created. Check file content for additional application violations. Prepare a list of items necessary for the applicant to provide in order to satisfy the requirements of the case file. Make sure the applicant is aware of the expected turnaround time on the documents necessary to complete case file. Ensure the applicant is aware that the documents necessary to satisfy these requirements should be certified court/government documents and not letters of explanation (in some cases a letter of explanation may be what is needed to explain special circumstances such as debt repair plans etc). Set requirements in NMLS if necessary/appropriate. ENSURE PRIVACY SENSITIVE MATERIALS ARE LISTED IN THE INTERNAL NOTES. If requesting criminal background information be sure that you emphasize that the Department requires that the applicant provide from official documents: 1. Charge 2. Classification (felony, misdemeanor, summary, or advanced rehabilitative disposition) 3. Disposition 4. Date of Conviction If a criminal rap sheet indicates that a crime is a summary, a misdemeanor, dismissed or was nolle processed, then documentation won’t be needed. C. If you have not received requested documents within 10 working days: 1. Send out the appropriate XX day warning letter by regular mail, and e-mail to the applicant’s NMLS office address. If the applicant has lost sponsorship then send mail to the home address. Call the applicant. If you