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Pre-Audit Worksheet
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Your Information
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Indicates required field
Name
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First
Last
Phone Number
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Email
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Business Information
Business Name
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Business Phone
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Website
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Business Address
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Line 1
Line 2
City
State
Zip Code
Country
Number of Locations
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Number of Employees
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Type of Entity
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LLC
C-Corp
S-Corp
Sole Proprietorship
Partnership
Do you provide MSB services?
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Which ones?
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Have you purchased a Compliance Manual from another company?
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Yes
No
Who
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When was your last Federal Compliance Audit?
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Who performed your last Federal Compliance Audit?
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Who is your primary bank?
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Regulation Information
Who is the Responsible Law Enforcement Agency
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Do you report transactions electronically to law enforcement?
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Yes
No
Name of database you report to?
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How often?
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Everyday
Once per week
2 to 3 times per week
Once per month
Less than once per month
County Bussiness is Located in
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Who regulates your industy in your state?
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What agency mandates the fees you charge, if any?
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Pawn Information
How long is your pawn term?
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1 Month/30 Days
2 Months/60 Days
3 Months/90 Days
4 Months/120 Days
5 Months or more
How many day is your mandatory police hold for buys?
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Are pawns released to whoever holds the ticket or to the pledgor only?
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Ticket Holder
Pledgor Only
Grace Period?
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How many police confiscations in an average year?
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What pawn software do you use?
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What company do you purchase your pawn tickets from?
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SDN Information
Does your software automatically check names against the SDN list?
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Yes
No
I don't know
The SDN list you are checking against is updated regularly?
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Yes
No
I don't know
If not how do you check the list?
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Precious Metals Information
In the past year, have you purchased $50,000 in covered goods?
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Yes
No
Do you sell to Precious Metals Dealers (scrap)?
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Yes
No
In the past year, have you sold $50,000 in covered goods?
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Yes
No
If yes, Company Name?
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How often do you scrap?
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Do you verify that Precious Metals Dealers have AML programs in place before doing business?
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Yes
No
How do they pay you?
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Do you deal with any foreign countries, banks, or nationals living outside of the US?
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Yes
No
Does this include online commerce such as eBay and others?
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Yes
No
Transaction Information
Do you accept checks for:
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Retail Sales
Renews
Redeems
Do you accept Debit Cards for
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Retail Sales
Renews
Redeems
Do you accept Credit Cards For
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Retail Sales
Renews
Redeems
hat is the Lowest Dollar Amount you will loan someone
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What is the total number of buys you do in a year?
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The Number of Buys Not Total Dollar Amount
hat is the higest Dollar Amount you will loan someone
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What is the Aveage Buy Dollar amount in a year?
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The Average Amount of Buys Not Total Dollar Amount
What is the total number of pawns you do in a year?
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The Number of Pawns Not Total Dollar Amount
How many bullion/coin sales in a month?
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What is the frequency of $10,000+ sales?
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What is the Aveage Pawn Dollar amount in a year?
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The Average Amount of Pawns Not Total Dollar Amount
How many bullion/coin purchases in a month?
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What is the frequency of $10,000+ Pawn redemptions??
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Please Provide a copy of the front of a blank pawn ticket
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Max file size: 20MB
Please Provide a copy of the back of a blank pawn ticket
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Max file size: 20MB
Compliance Tracking Information
Who will be your compliance officer?
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What is their Title?
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What is your ‘high $’ sales/pawn tracking preference
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$1,000
$1,500
$2,000
$2,500
$5,000
Not Sure
Do you prefer to track your ‘high $’ items
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Electronically
Manually
For each of the following, describe how and where they are stored, how long they are kept, and the method of destruction you use (if any):
Pawn Tickets
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Sales records and credit card/debit card receipts
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Terminated employee files
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Buy Tickets
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Current employee files
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Describe the back-up method for the pawn software program and the frequency. If you use media to back up your files, where is it stored?
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Do you want us to provide annual external compliance audits as required by federal law?
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Yes
No
Do you want to use our online training resource for required annual training ($25/employee adnd $35/Compliance Officer))?
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Yes
No
Firearm Information
Do you have an FFL?
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Yes
No
If yes, do you do transfers?
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Yes
No
How much do you charge?
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What is the average number of transfers in a month?
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Is your A&D book manual entry or electronic?
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Manual
Electronic
If it is manual, how many employees have access to and/or make entries in the book?
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Is your A&D book stored securely?
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Yes
No
In a fire proof safe?
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Yes
No
When was your last ATF audit?
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How often do you do an internal check of your gun records and processes?
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When was the last time all A&D info was verified (especially serial numbers)?
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Are all employees allowed to handle firearms?
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Yes
No
Only after training?
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Yes
No
Are employees allowed to carry firearms on premises?
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Yes
No
If yes, do you require any proof of proficiency before that privilege is granted?
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Does that proof require more than just accuracy? (Crowded areas, know your backstop etc.)
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Do you have a store firearms policy in place?
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Yes
No
If not, would you like one?
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Yes
No
MLA Information
Do you offer MLA loans?
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Yes
No
How close are you to a military base?
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How many MLA loans did you write in the last year?
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Which one(s)?
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Do you operate under the Safe Harbor provision (asking every single customer for their SSN)?
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Yes
No
Do you print any certificates from the MLA database OR do you save them digitally?
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N/A
Print
Save Digitally
If you save these digitally, how often do you back them up?
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Do you give all “covered” borrowers a written disclosure as required?
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N/A
Yes
No
Do you give all “covered” borrowers a oral disclosure?
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N/A
Yes
No
Do you use your own disclosure OR one from Burrell (or other vendor)?
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Do you use a checklist (like one of those offered by Burrell) as a way to vet your customers?Untitled
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If you are a California store, do you use a CAPA ticket to vet your customers?
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N/A
Yes
No
If someone refuses to give you their SSN, do you still go ahead with the loan?
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Yes
No
Do you have a sign posted letting customers know you provide MLA loans?
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N/A
Yes
No
If you do not operate under Safe Harbor, do you ask every customer if they are military or a dependent after you agree to do the loan but prior to printing the pawn ticket?
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N/A
Yes
No
Does your pawn ticket include a perjury statement by the signature line?
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N/A
Yes
No
Check which of the following items you attach to your pawn tickets:
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Checklist (like Burrell 11-5565 or 11-5570)
Written/oral MAPR disclosure (like Burrell 11-5560)
Verification certificate from MLA database
If you do not attach these to the ticket, how are you storing them?
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How often do you check existing customers to re-evaluate their covered borrower status?
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Have you changed your record retention policy to reflect the MLA requirements?
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Yes
No
If you use Pawnmaster, have you checked your settings to make sure you are prorating MLA loans?
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N/A
Yes
No
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