Bank Advertising Compliance Tools

Advertising has become one of the more complex compliance concerns at financial institutions, as every marketing piece, disclosure, electronic posting are being scrutinized by the regulatory agencies. We give you a suite of reliable, straight-forward resources to ensure you and your staff not only stay current, but ahead of the curve when it comes to all areas considered under the umbrella of advertising. Key tools include policies, procedures, checklists, risk assessments, worksheets, training tools and much more.

Last Updated Tool Name
01/01/2015 Advertising Approval Request Form
01/01/2015 Advertising Dos and Don’ts Training
01/01/2015 Advertising for Deposits Procedures
01/01/2015 Advertising Regulations Summary
01/01/2015 CAN-SPAM Policy
01/01/2015 Commercial Email Message Approval Flowchart
01/01/2015 Commercial Email Message Approval Request Form
01/01/2015 Commercial Email Message CAN-SPAM Provisions Checklist
01/01/2015 Consumer Commercial Email Decline Tracking and Resolution Log
01/01/2015 Deposit Advertising Checklist
05/05/2017 General Ledger Reconciliation Worksheet
06/08/2015 Marketing and Advertising Policy
01/01/2015 Regulation AA Unfair, or Deceptive Acts or Practices (UDAP) Summary
01/01/2015 Social Media Consumer Risk Management Risk Assessment
01/01/2015 Social Media Consumer Risk Management Summary
01/01/2015 Social Media Policy
01/01/2015 Social Media Policy Consumer Risk Management Guidance
01/01/2015 Social Media Risk Assessment
01/01/2015 Telephone Consumer Protection Act - Do Not Call Policy
01/01/2015 Testimonial Authorization and Release Information Form
01/03/2018 UDAAP Board of Directors Training
01/01/2015 UDAAP Compliance Program Procedures
05/17/2016 UDAAP Policy
01/01/2015 UDAAP Product Analysis Worksheet
01/01/2015 UDAAP Risk Assessment

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