The Ultimate UDAAP Marketing Compliance Checklist for Consumer Finance Companies
For consumer finance organizations, failure to comply with UDAAP regulations can result in enforcement actions, costly penalties, and significant reputational damage.
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NOT SURE WHERE TO START WITH UDAAP COMPLIANCE?
We've got you covered.
Use this checklist to shape your organization’s UDAAP marketing compliance program—from policies and procedures, risk assessments, training and education, compliance monitoring, remediation, and technology—to ensure UDAAP compliance across your organization, and third parties and partners.

Risk Assessments
Organizations should conduct risk assessments on a regular basis to proactively identify and mitigate business risks, and to prioritize resources and budget.
Training and Education
Regularly review and update the company's UDAAP policies and compliance training to stay current with changes in regulations and emerging risks by:
Conduct regular internal UDAAP compliance training programs for employees, which should include:
Enforcement + Remediation
Have a clear action plan for instances of non-compliance by an employee, partner, affiliate, or third party. This may include:
Monitoring + Auditing
A system in place to monitor for UDAAP compliance across the multiple marketing channels and platforms that individuals may be using, including (but not limited to):
Technology
Implement a social media compliance software or tool to help monitor loan officer's social media activity and ensure compliance with regulations that includes:
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