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Lending Compliance Violation: A Case Study

13 minPRO
5/6

Key Takeaways

  • Seller financing exceeding 3 properties per year or including non-compliant terms triggers full lending regulatory requirements.
  • Non-compliance consequences include state fines ($10K+ per violation), borrower rescission rights, TILA damages, and legal costs.
  • Balloon payments in seller-financed notes can violate the Dodd-Frank exemption even at low volume.
  • Consulting a lending compliance attorney before seller financing transactions prevents regulatory violations.
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Test Your Knowledge

1.What is operational risk?

2.What is a risk register?

3.What is the Recovery Time Objective (RTO)?