Compliance Reporting and Recordkeeping for Compliance Audits

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User Instructions

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Definitions

Borrower Information

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Headcount/Use of Proceeds – Employee Headcount

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Headcount/Use of Proceeds – Use of Proceeds (UA1, UA2, SA1, SA2, SA3, SA4)

Headcount/Use of Proceeds – Use of Proceeds (YRC(A), YRC(B))

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Compensation/Dividends (Limitations on Certain Compensation section)

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Compensation/Dividends (Securities and Dividends section)

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Document Uploads (UA1 and UA2)

Document Uploads (SA1, SA2, SA3, & SA4)

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Fundamental Changes

Loan Specific Questions (UA1 and UA2)

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Loan Specific Questions (SA1)

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Loan Specific Questions (S2)

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Loan Specific Questions (S2 – continued)

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Loan Specific Questions (S3)

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Loan Specific Questions (S4)

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Loan Specific Questions (YRC(A), YRC(B))

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Additional Questions

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Certification & Submission (“Yes” for authorized representative and “No” for everything else)

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Certification & Submission (“No” for authorized representative)

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Certification & Submission – Certification Download (Page 1 of 2)

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Certification & Submission – Certification Download (Page 2 of 2)