Corporate Information

 

Yes     N/A

□      □        Documentation of Meetings (LLC)

□      □        Copy of Corporate Minutes for:  (Corp.)

                                    •Last Five Years

□      □        Copy of Contracts With Partners

                                    •Buy/Sell Agreements

□      □        Current Percentage of Stock Ownership or Membership Interest

□      □        Federal and State Income Tax Returns for:

                                    •Current Year

                                    •Last Fiscal Year

□      □        List of Branch Offices

□      □        Copies of Stock Certificates issued

□      □       Current Operating Agreement (LLC)

□      □        Bylaws (Corp.)

 

Personnel Information and Records

 

□      □        Most Current List of Employees:

                                    •Employed Current

                                    •Terminated

□      □        Resumes of Current Management and/or Summary of Employment and

Education Background

□      □        Employer Policy Manual

□      □        Copy of Training Manuals

□      □        Copy of Current Worker’s Compensation Insurance Policy and most recent Audit

□      □        Company Organizational Chart:  Current and One Year Ago With Job

Duties  

□      □        Independent Contractor Agreements/ Branch Office Agreements/ Employment Contracts

□      □        Copies of 1099’s for:

                                    •Most Current Year

□      □        Copies of W-2’s for:

                                    •Most Current Year

□      □        Payroll Records: 

                                    •W-2’s                        

                                    •941’s

                                    •Unemployment Forms

                                    •Employee Earnings Records for Last Two Years

Accounting and Financial Information

 

Yes     N/A

□      □        Copy of Financial Audit Report and Management Letter

□      □        Back-Up of Accounting System Information

□      □        QuickBooks Back-Up: Including Version Number and Password

□      □        Detailed General Ledger for:

                                    •Most Current Fiscal Year

                                    ŸPrior Year

□      □        Copies of Bank Statements for All Cash Accounts for:

                                    •Most Current Fiscal Year

                                    ŸLatest Prior Year

□      □        Copy of Detailed Check Register and Canceled Checks for:

                                    •Most Current Fiscal Year

□      □        Expense Reports         

□      □        Complete Financial Statements for:

                                    •Current Year (Each Month)

                                    •Last Fiscal Year (Each Month) Including Year End

□      □        Accounts Payable Aging

                                    •Current last Year End

□      □        Accounts Receivable Aging

                                    •Current last Year End

 

Legal, Regulatory and Enforcement

 

□      □        Explanations of Litigations or Judgments

□      □        List of Regulatory Action taken against Licensee and Principal

□      □        Copy of Regulatory Audits

□      □        Name and Address of Licensee’s Legal Counsel

□      □        Copies of the Most Recent OFIS Annual Report

□      □        Copies of any written accounting procedures and/or procedures