SysDep turns form RE 540 into a live 45-item broker self-audit. Most trust items come straight from your trust ledger, so you see problems while they’re still small.
See the self-audit liveSysDep's DRE Compliance module is a California broker self-audit built on the DRE's RE 540 Broker Self-Evaluation checklist. Its 45 items resolve from evidence to compliant, exception, unknown or not applicable, and unknown never counts as passing. Most trust items are computed from live trust accounting, and the audit packet lists every gap before any of the evidence.
| Section | Items | What SysDep checks |
|---|---|---|
| Required Disclosures | 20 | The disclosures RE 540 asks a broker to confirm, including sales-only items a property-management office can mark not applicable |
| Trust Account Compliance | 11 | Shortages, records and monthly reconciliation; most computed from live trust data, swept hourly |
| Licensing Compliance | 9 | Licensees, broker-licensee agreements (Reg 2726), team names and license identification |
| Supervision | 2 | Written policies covering Reg 2725's seven areas, and how reviews are recorded |
| Record Keeping | 1 | Three-year retention of transaction and trust records (B&P 10148) |
| Most-Cited Audit Violations | 2 | License ID disclosure (B&P 10140.6, Reg 2773) and trust fund shortage (Reg 2832.1) |
The checklist follows RE 540, the Broker Self-Evaluation the California Department of Real Estate publishes for brokers: 43 items across its sections. SysDep adds two more from the DRE's list of the violations most often found in audits, because neither appears as a standalone RE 540 question and an audit-readiness tool has to cover what actually gets cited: license identification on solicitation materials and trust fund shortages.
Each item resolves to one of four states from the evidence SysDep holds: compliant, exception, unknown or not applicable. The rules are strict on purpose, because a checklist that flatters the broker is worse than none.
An automated trust integrity sweep runs every hour, checking each trust account and beneficiary balance. It records a heartbeat every time it runs, so a check that silently stops running is itself visible. Broker supervision reviews follow DRE Regulation 2725 and Business and Professions Code section 10159.2.
The audit packet is everything a broker would hand a DRE auditor, in one download. Its cover page lists the gaps first: every exception and unknown, every licensee without a complete agreement, every missing policy and every stored document that failed its fingerprint check. A packet that hid what is missing would be a misrepresentation the broker signs.
A licensee roster lists every licensed person the broker is answerable for and what is on file for each, including people with nothing on file, who are exactly the ones an auditor looks for. Evidence can come from a completed SysDep E-Sign envelope, which records each signer's date and a document hash, from an upload, or from a file already in the E-Cabinet. It is copied into the compliance store, so deleting a file elsewhere cannot delete the evidence.
Retention follows the rules rather than a simple timer: Business and Professions Code section 10148 sets the minimum, and under Regulation 2726 the clock for a broker-licensee agreement starts when the affiliation ends. SysDep reports what each document's clock is, flags documents it cannot place on one, and never deletes anything on its own.
Yes. Written supervision policies and procedures are built from guided questions and assembled into a policy manual, covering for example:
Most checklists let a blank box look like a pass. SysDep won’t — if there’s no evidence, it’s on your list.
Built inside a California brokerage, for California brokers.Yes. SysDep's DRE Compliance module is a 45-item self-audit built on the California DRE's RE 540 Broker Self-Evaluation checklist, plus two items taken from the DRE's list of the most common audit violations. Every item resolves from evidence to compliant, exception, unknown or not applicable, and unknown never counts as passing. Most trust items are computed from live trust accounting data and the rest combine that data with the broker's attestations and evidence, so they cannot simply be ticked off.
A broker self-audit is the responsible broker reviewing their own trust accounts, records, disclosures, licensing and supervision against the same checklist DRE auditors work from, form RE 540, before an audit happens. SysDep turns that review into a live checklist backed by evidence, with an exportable audit packet, so problems are found and fixed early instead of during a DRE audit.
SysDep runs an automated trust integrity sweep every hour that checks trust accounts and beneficiary balances and records a heartbeat each time, so a check that stops running is itself visible. Broker supervision reviews follow DRE Regulation 2725 and Business and Professions Code section 10159.2, and the DRE Compliance checklist reads the same live trust data.
Yes. The DRE module keeps a roster of every licensee the broker is responsible for and what is on file for each one. Evidence can come from completed SysDep E-Sign envelopes, uploads or files already in the E-Cabinet, and it is copied into the compliance store so deleting a file elsewhere cannot delete the evidence.
Start with what DRE auditors check most: a columnar control record with a daily balance for each trust account (RE 4522, Reg 2831), a separate record for each beneficiary (RE 4523, Reg 2831.1), deposits within three business days (Reg 2832), a documented monthly reconciliation (Reg 2831.2), no trust shortage (Reg 2832.1), written supervision policies (Reg 2725) and your license ID on solicitation materials (B&P 10140.6). Then work through DRE form RE 540, the Broker Self-Evaluation. SysDep turns this into a live 45-item self-audit and exports an audit packet that lists every gap first.
A California broker keeps a columnar control record of all trust funds received and paid out for each trust account, with a daily running balance (Reg 2831); a separate record for each beneficiary or transaction (Reg 2831.1); and a record of trust funds received but not placed in the trust account (Reg 2831(a)(6)). DRE publishes sample formats for these records as RE 4522, RE 4523 and RE 4524, plus RE 4525, a separate record for each property managed. Records are reconciled monthly (Reg 2831.2) and kept for three years (B&P 10148). SysDep produces RE 4522 to RE 4525 from its trust ledger.
At least monthly. DRE Regulation 2831.2 requires a broker to reconcile each trust account every month, matching the separate beneficiary records to the control record, and to keep a record of each reconciliation. SysDep imports the bank statement, has a person match it line by line, reconciles to the control record, and also runs an automated trust integrity sweep every hour, so a shortage or mismatch surfaces between month-end reconciliations.
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