CONSUMER PROTECTION COMPLIANCE SERVICES

FNI provides consumer protection compliance services for financial institutions, consumer finance companies and select auto dealerships. 
  • On-Site Risk Assessment
  • Protection Product Compliance
  • On-Site/Online Compliance Training
  • Regulatory Examination / Investigation / Complaint Response Assistance
PROTECTION PRODUCT COMPLIANCE​​
 
If you are considering or already offering an existing array of products, FNI can bring your add-on product programs into compliance with new regulatory expectations and design product management processes to minimize litigation and regulatory enforcement risks.
Standard FNI Product Compliance Services provide process design and documentation to address all of the critical consumer protection compliance risk areas of product and product vendor management. Created in collaboration with your management team, compliance officer and counsel, services include all of the initial and ongoing documentation necessary to demonstrate your compliance efforts in the event of a regulatory investigation or examination, or product related consumer litigation.  In addition standard compliance services include custom vendor agreements, disclosure forms and program management designs representing the most current best practices for meeting evolving consumer protection compliance expectations.
Fee: Flat fee based on number and type of products. Included with no additional fee with FNI Product Solutions.
ON-SITE CONSUMER PROTECTION RISK ASSESSMENT​
 
Designed to minimize consumer protection related compliance and litigation risks, and to provide preparation for regulatory examinations or investigations.
 
FNI's On-Site Risk Assessment includes a comprehensive review of existing consumer/auto finance operational policies, processes and compliance management documentation. On-site clients are provided with a report of the review together with best practice recommendations.
Fee: On-site per diem.
SPECIAL PROJECTS & TRAINING
Special compliance projects include regulatory examination or investigation/complaint response assistance; operations and compliance management process design; policy development and documentation; and customized on-site/online compliance training for executives, management and employees.
Fee: Hourly, Flat fee or per diem.

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