Marketing & Advertising Compliance-Two Part Series Webinar

In this day and age of UDAP/UDAAP, it’s clear that how you say what you say in your advertisements is just as important as what you say. Style matters ‘ you must be clear and conspicuous in your wording so as not to confuse and deceive. If you read enforcement actions related to marketing and advertising carefully, it’s clear what else is being targeted: sales and marketing practices. It’s always useful to learn from others’ mistakes, regardless of your bank’s size or regulator.

With everything happening in the financial services industry, now more than ever it’s important that your advertising and marketing efforts are effective. Moreover, regulator and examiner attention to your advertising and marketing efforts is at an all-time high. Advertising is being looked at in different ways than before. There are standards to observe, especially when it comes to UDAAP (Unfair, Deceptive, or Abusive Acts or Practices). This is a seismic shift in regulatory enforcement, where practices that were perfectly acceptable in years past are now problematic. In the rush to attract new business and keep the clients you have, compliance requirements can easily be missed or ignored.

What can you say in advertisements? What must you say? What can you not say? Many sets of rules govern these questions, and more are on the way. How about your promotional efforts – contacting prospects and customers to let them know what you have available?

This is a two-part webinar series that covers the comprehensive landscape of marketing and advertising compliance requirements. In these webinars we’ll provide many examples of how the rules apply as well as recommendations on how to deal with all the requirements.

As the compliance environment becomes more complex, your marketing department must stay on top of all the rules and regulations. These sessions will help.

Covered Topics

Marketing & Advertising – Part 1: July 14, 2020 10:00 AM CT

  • In-depth discussion of UDAP/UDAAP requirements – attention to unfair, deceptive, and abusive acts and practices (UDAAP). Plus – what may be considered abusive? How can you stay clear of trouble? Don’t miss the forest for the trees.
  • Examples of unfair and/or deceptive advertising
  • Discussion of enforcement actions and UDAP practices, plus recommendations
  • Sales practices and conduct risk ‘ what are the issues? What will examiners look for? How best to be ready
  • Marketing services agreements ‘ attention on third-party activities
  • Native advertising issues
  • Deposit advertising, including Reg. DD requirements
  • Tax reporting issues
  • FDIC official advertising statement requirements ‘ plus updates
  • Nondeposit Investment Product (NDIP) and insurance sales provisions
  • Rules prohibiting lotteries ‘ what can and can’t you do with drawings and contests?

Marketing & Advertising – Part 2: January 29, 2021 10:00 AM CT

  • Fair Housing Act (FHA) rules ‘ the Equal Housing Lender logo and statement
  • Fair lending considerations in marketing and advertising ‘ what to be aware of and hot spots (such as geographical restrictions/redlining)
  • Digital redlining issues
  • Truth in Lending/Reg. Z requirements, including additional requirements for mortgage loans
  • Tax deductibility issues
  • Marketing campaigns ‘ privacy issues and sharing data and information with affiliates and non-affiliated third parties
  • Prescreening campaigns ‘ FCRA requirements
  • Offering free credit reports
  • Guidance on the use of testimonials in advertising
  • Social media ‘ regulatory guidance and cautions
  • TCPA (Telephone Consumer Protection Act) ‘ Do Not Call requirements, plus related Do Not Solicit issues
  • TSR (Telemarketing Sales Rule) fraud issues
  • Email issues ‘ CAN-SPAM and other concerns
  • Does anyone use faxes anymore? The Junk Fax Prevention Act
  • Online marketing to children ‘ COPPA

Who Should Attend?
Anyone involved in developing and marketing your institution’s products and services, including the marketing department, compliance officers, auditors, business managers, sales and service staff, and anyone else whose duties involve promotion.

Continuing Education (CE) Credits

This webinar is recommended for 2.5 CE Credit Hours. Each attendee will receive a Certificate of Attendance for self-reporting of CE Credits.

View Delivery Options

Related Topics

Instructor

Carl Pry
Carl Pry

Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Managing Director for Treliant Risk Advisors in Washington, DC. Through his working career, ... read more.

Course TitleCreditsStart DateStart TimeDelivery TypeDelivery OptionInstructor / LocationPrice
Marketing & Advertising Compliance-2 Part Series0.5 Any AnyWebinarSix Month On-Demand Recording Carl Pry$295.00 Register Now
Marketing & Advertising Compliance-2 Part Series0.5 Any AnyWebinarCD-ROM Video Recording Carl Pry$345.00 Register Now
Delivery Options

LIVE WEBINAR:
INCLUDES 7 DAYS OF ONDEMAND PLAYBACK! With this option, you will participate in the webinar (via the internet) as it is being presented. You will login to the webinar on your PC to view the PowerPoint presentation, and you have the option of using your PC speakers or a telephone for the audio. You can type and send your questions to the instructor. Many companies are now running their PC through an LCD projector allowing many employees to participate at the same time. And don’t worry if you miss the webinar, you can still view it for up to seven days after it takes place!

SIX MONTH ONDEMAND VIDEO:
With this option, you will receive an e-mail that contains a link to the PowerPoint slides (to download, print, and copy) as well as a link to the media player where you will view and hear the entire webinar just as it was delivered, featuring the full-color PowerPoint presentation with audio. You can pause, fast-forward and rewind as needed, which makes it an effective training tool. The weblink will be available to you (and anyone else in the company) for up to six months and can be accessed 24/7 as many times as you wish. Delivered via e-mail the day after the webinar takes place.

CD-ROM VIDEO:
If you do not have internet access or want to make the webinar part of your training library, the CD-ROM Recording is a great option for viewing a webinar. You can pause, fast-forward and rewind as needed, which makes it an effective training tool. With this option, you will receive a download of the PowerPoint slides and a CD-ROM Recording (featuring PowerPoint presentation with audio) of the webinar via regular mail. Mailed 7 to 10 days after the webinar takes place.

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