Financial Services Marketing Compliance

Navigating New and Emerging Restrictions on the Marketing of Financial Products and Services

Tuesday, October 25, 2005

About


Does your marketing compliance program insulate you from regulatory actions and plaintiff lawsuits?

With the marketing landscape transformed by new legislation, changing regulatory guidelines and aggressive actions by state attorney general offices around the country, financial services companies face unprecedented hurdles as they try to create successful marketing efforts. The complex set of rules that companies must adhere to is made even more challenging by questions of preemption.

While understanding what rules apply and what they require is challenging enough, in-house and outside attorneys must provide guidance to the business and marketing people who typically approach these efforts with a different mindset. Bridging the gap between the legal and marketing groups is a requirement that can't be overlooked.

The Financial Services Marketing Compliance publication will guide you through these challenges by providing you with the most current strategies for maintaining compliance with the rules and regulations that govern marketing. An outstanding faculty of industry leaders provided you with practical guidance on:
  • Complying with federal privacy laws in marketing financial products and services to customers
  • How to avoid finding yourself subject to a state enforcement action
  • Maintaining privacy standards when working with third parties
  • Complying with internet, e-mail and telephone solicitation rules
  • The latest guidelines for pre-screening techniques
  • Establishing compliance guidelines for your marketing professionals

Contents & Contributors

About


Does your marketing compliance program insulate you from regulatory actions and plaintiff lawsuits?

With the marketing landscape transformed by new legislation, changing regulatory guidelines and aggressive actions by state attorney general offices around the country, financial services companies face unprecedented hurdles as they try to create successful marketing efforts. The complex set of rules that companies must adhere to is made even more challenging by questions of preemption.

While understanding what rules apply and what they require is challenging enough, in-house and outside attorneys must provide guidance to the business and marketing people who typically approach these efforts with a different mindset. Bridging the gap between the legal and marketing groups is a requirement that can't be overlooked.

The Financial Services Marketing Compliance publication will guide you through these challenges by providing you with the most current strategies for maintaining compliance with the rules and regulations that govern marketing. An outstanding faculty of industry leaders provided you with practical guidance on:
  • Complying with federal privacy laws in marketing financial products and services to customers
  • How to avoid finding yourself subject to a state enforcement action
  • Maintaining privacy standards when working with third parties
  • Complying with internet, e-mail and telephone solicitation rules
  • The latest guidelines for pre-screening techniques
  • Establishing compliance guidelines for your marketing professionals

Contents & Contributors


CONSUMER PROTECTION BEYOND THE FEDS: HOW TO AVOID BECOMING THE NEXT STATE ENFORCEMENT TARGET
Prentiss Cox, University of Minnesota Law School

CLAIM SUBSTANTIATION AT THE NAD THE ADVERTISING INDUSTRY'S SELF-REGULATORY FORUM
Wayne Keeley, Better Business Bureaus

EMAIL MARKETING
Terri Seligman, Loeb & Loeb LLP

RENDERING CONSUMER REPORTS ANONYMOUS UNDER THE FAIR CREDIT REPORTING ACT
Mark Westmoreland, Capital One Bank

COMPLYING WITH FEDERAL PRIVACY LAWS IN MARKETING FINANCIAL PRODUCTS AND SERVICES TO CONSUMERS
Anne P. Fortney, Hudson Cook, LLP
Lisa C. DeLessio, Hudson Cook LLP

A GUIDE TO UNDERSTANDING FIRM OFFERS OF CREDIT
Lorena Rush, Wells Fargo & Company

LEGAL AND REGULATORY PITFALLS IN REPRESENTATIONS AND DISCLOSURES ON MARKETING PRODUCTS AND PROMOTIONS
Robert Ballen, Schwartz & Ballen LLP

MARKETING A PREPAID CARD PRODUCT: FAIRLY CERTAIN ADVICE IN VERY UNCERTAIN TIMES
Judith Rinearson, Bryan Cave LLP

FEDERAL PREEMPTION OF STATE LAWS: WHAT RULES WILL APPLY TO YOUR MARKETING AND WHO WILL ENFORCE THEM?
Charles Turnbaugh, State of Maryland

NATIONAL BANK ACT PREEMPTION: THE OCC'S NEW RULES DO NOT POSE A THREAT TO CONSUMER PROTECTION OR THE DUAL BANKING SYSTEM
Howard N. Cayne, Arnold & Porter LLP
Nancy L. Perkins, Arnold & Porter LLP

SELECTED FEDERAL PREEMPTION ISSUES
L. Richard Fischer, Morrison & Foerster LLP

BEST PRACTICES FOR ESTABLISHING COMPLIANCE GUIDELINES FOR YOUR MARKETING PROFESSIONALS
Andy Navarrete, Capital One Financial Corporation



DOCUMENT TYPES: PRESENTATIONS AVAILABLE: 0