Bank Advertising Compliance

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
02/14/2024 UDAAP Policy
01/04/2024 Marketing and Advertising Policy
01/04/2024 Advertising Regulations Summary
11/21/2023 Advertising and Marketing Review Checklists
08/29/2023 UDAAP Risk Assessment
08/01/2023 Marketing Services Agreement Template
01/30/2023 Telephone Consumer Protection Act Cheat Sheet
01/24/2023 CAN-SPAM Act Risk Assessment
01/01/2023 UDAAP Training
10/31/2022 Advertising Dos and Don’ts Training
08/10/2022 Telephone Consumer Protection Act – Do Not Call Policy
05/13/2021 False Advertising, Misrepresentation of Insured Status, and Misuse of the FDIC’s Name or Logo Proposed Rule Summary
11/23/2020 FFIEC APY Tool (Link)
09/28/2020 Notice of Proposed Rulemaking (FTC) Affiliate Marketing Rule
06/29/2020 OCC Digital Activities Advance Notice of Proposed Rulemaking Summary
06/24/2020 Regulation AA Unfair, or Deceptive Acts or Practices (UDAP) Summary
05/28/2020 Website Accessibility Checklist 2.1
05/05/2017 General Ledger Reconciliation Worksheet
03/05/2015 CAN-SPAM Policy
01/01/2015 Commercial Email Message Approval Request Form
01/01/2015 Advertising Approval Request Form
01/01/2015 Advertising for Deposits Procedures
01/01/2015 Commercial Email Message Approval Flowchart
01/01/2015 Social Media Consumer Risk Management Risk Assessment
01/01/2015 Commercial Email Message CAN-SPAM Provisions Checklist
1 of 2