Run Lender Panel Accreditation Management Log — Free

Broker and Panel Agreement Scope

Broker entity matches the lender panel agreement critical (required)

Verify the broker or entity name, legal entity type, and panel membership exactly match the lender panel agreement and approved onboarding record.

Yes No N/A

Panel agreement version and effective date recorded

Record the current lender panel agreement version, effective date, and any amendment references governing this review.

Review scope identified

Select the review type and the loan products or channels covered by this inspection.

Review date and next review due date recorded

Capture the date of this review and the next scheduled panel review or renewal date.

Licensing and Regulatory Authority

State mortgage broker license is current and valid critical (required)

Confirm the broker holds a current license or registration required by the applicable state mortgage broker licensing statute.

Yes No N/A

Photo evidence (optional)

License number and issuing authority recorded

Record the license number, issuing authority, and jurisdiction for each required license or registration.

TRID disclosure process reviewed critical (required)

Verify the broker’s process supports timely and accurate disclosures under TRID (12 CFR 1026.19).

Yes No N/A

RESPA compliance controls reviewed critical (required)

Verify the broker’s process addresses RESPA requirements (12 U.S.C. § 2601) including referral fee and settlement service controls.

Yes No N/A

Any jurisdiction-specific restrictions or conditions are identified

Document any state or federal restrictions, consent orders, or conditions that affect the broker’s authority to operate.

Yes No N/A

Loan Origination and Underwriting Standards

Written underwriting standards are available and current critical (required)

Confirm the broker follows the lender’s current underwriting standards for the applicable loan products.

Yes No N/A

Loan file documentation meets lender requirements critical (required)

Verify required income, asset, identity, occupancy, and collateral documents are collected and retained per lender policy.

Yes No N/A

Photo evidence (optional)

Sample 25 loan files for TRID disclosure timeliness critical (required)

Test whether sampled loan files contain signed TRID disclosures within the required timing window.

Yes No N/A

Appraisal and valuation review controls are documented

Confirm the broker follows the lender’s valuation review process and escalation rules for appraisal issues.

Yes No N/A

Fraud prevention and red-flag escalation controls are in place critical (required)

Verify the broker has controls to identify and escalate suspected fraud, misrepresentation, or identity issues.

Yes No N/A

Lender-Specific Panel Requirements

Lender panel checklist completed against the agreement critical (required)

Confirm all lender-specific onboarding or maintenance requirements in the panel agreement have been completed.

Yes No N/A

Required lender forms and declarations are signed and filed critical (required)

Verify all lender-required declarations, certifications, and acknowledgements are signed and retained.

Yes No N/A

Photo evidence (optional)

Insurance requirements meet lender minimums critical (required)

Confirm professional indemnity, errors and omissions, and any other required coverage meets the lender’s stated minimums.

Yes No N/A

Photo evidence (optional)

Professional indemnity coverage amount recorded

Record the current coverage amount and policy details for the broker’s professional indemnity or equivalent insurance.

Lender exceptions, waivers, or conditions are documented

Document any approved exceptions, waivers, or conditions attached to panel membership or specific loan products.

Yes No N/A

Compliance, Conduct, and Seller/Servicer Guide Controls

FNMA/FHLMC seller-servicer guide requirements reviewed critical (required)

Verify applicable Fannie Mae or Freddie Mac seller/servicer guide requirements are identified and followed for the products reviewed.

Yes No N/A

No unresolved compliance breaches are recorded critical (required)

Confirm there are no unresolved compliance breaches, enforcement actions, or material findings affecting panel eligibility.

Yes No N/A

Any complaints, disputes, or adverse findings are logged

Record complaints, disputes, adverse findings, and their status in the accreditation file.

Yes No N/A

Suspension triggers reviewed against lender criteria critical (required)

Assess whether any lender suspension or remediation triggers have been met under the panel agreement.

Yes No N/A

Risk rating assigned for the current review

Assign a risk rating based on licensing, compliance, underwriting, and conduct findings.

Renewal, Remediation, and Sign-Off

Renewal or maintenance tasks are assigned to an owner

Assign each renewal, remediation, or maintenance task to a named owner.

Yes No N/A

Corrective actions documented for all failed items critical (required)

Document corrective actions for every failed or outstanding item.

Yes No N/A

Target completion date for corrective actions recorded

Record the target completion date for each corrective action.

Evidence required for reinstatement or continued accreditation identified

Identify the evidence needed to restore or maintain panel approval after a deficiency.

Inspector sign-off completed critical (required)

Capture inspector sign-off confirming the review is complete and evidence has been checked.

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Run: Lender Panel Accreditation Management Log

Broker and Panel Agreement Scope

Licensing and Regulatory Authority

Loan Origination and Underwriting Standards

Lender-Specific Panel Requirements

Compliance, Conduct, and Seller/Servicer Guide Controls

Renewal, Remediation, and Sign-Off

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