1. Compliance on Demand

2. 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.

3. 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 company‘s needs.

4. 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

5. 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

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

7. 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

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

9. Triggering Features continued 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

10. Triggering Features continued 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

11. Tracking Features continued 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

12. Tracking Features continued 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

13. Tracking Features continued 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

14. Tracking Features continued 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

15. 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

16. Course Page Maintain courses with complete reference profile Add courses and all related data Search and list courses

17. Provider Page Maintain and modify course providers Add and modify third party education Providers Search and list Providers

18. 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

19. ATS Triggering 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

20. 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.

21. 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

22. 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

23. Data Upload EXCEL compatible (CSV) template provided for upload of company, branch, officer and roster data

24. 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”

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

26. States Regulatory Data Provides a detailed list of state regulatory requirements and contact information for each state agency

27. 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.

28. Technical Support Unlimited technical support Initial data upload within 24 hours from receipt of payment Password granted / login information

29. Supplemental Feature Education credits completed through our education partner TrainingPro, will automatically populate the Compliance Keeper education data base

30. 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.

31. 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.