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Compliance Reviews 

Regulatory Compliance Services has provided its clients with compliance reviews of key documents such as Terms of Service, Electricity Facts Labels, Advertisements and Marketing Materials, Telemarketing Scripts, and Training Materials.  These reviews provide clients with the comfort of having “expert” eyes review material to minimize regulatory risk.  Now the compliance checklists used by Regulatory Compliance Services in performing these document reviews are being made directly available to clients for their internal use.  

Get these compliance checklists for your company now.

In addition "document" reviews, Regulatory Compliances Services can also provide your company with a review of your customer protection compliance obligations as required by relevant state rules and standards.  This review will include identifying applicable regulatory reporting requirements so that your company will:

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    know what reports need to be prepared;

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     when and how those reports should be prepared;

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    where the reports should be submitted; and

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    who should submit the reports.

Specific focus areas can include:

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     Deceptive trade issues

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    Customer education issues

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     Responding to regulatory complaints

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    Responding to enforcement actions

Recent reviews have been conducted for clients on specific marketing channels (such as door-to-door and telemarketing).  

These reviews included field visits with vendors for the purpose of identifying weaknesses and recommending improvements as necessary to ensure compliance with applicable laws and regulations.

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Last modified: January 22, 2022

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