During a recent compliance examination, regulators cited the bank for violations of various marketing regulations. How s
Posted: Tue Mar 08, 2022 10:34 am
During a recent compliance examination, regulators cited the bank for violations of various marketing regulations. How should the compliance professional FIRST respond?
A. Contact the bank"™s marketing manager to discuss the finding
B. Develop a policy requiring that all marketing materials be reviewed and approved by compliance before being published
C. Set up a training class for the marketing department
D. Review the marketing materials and applicable regulations to verify the finding.
A. Contact the bank"™s marketing manager to discuss the finding
B. Develop a policy requiring that all marketing materials be reviewed and approved by compliance before being published
C. Set up a training class for the marketing department
D. Review the marketing materials and applicable regulations to verify the finding.