Non-Deposit Investment Products (NDIP) Policy - $275.00


The purpose of this Non-Deposit Investment Products (NDIP) Policy is to address the referral, sale, promotion, and marketing of non-deposit investment products (NDIP) to individual customers of a financial institution.

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
Structure of Accountability - Topic 4
Risk Management - Topic 5
Products and Services Offered - Topic 6
Prohibited Practices - Topic 7
Disclosure and Advertising Requirements - Topic 8
Location of Sales Activities - Topic 9
Qualification and License Requirements - Topic 10
Suitability and Sales Practices - Topic 11
Compensation - Topic 12
Third-Party Management - Topic 13
Complaint Policy Reference - Topic 14
Regulation R Policy Reference - Topic 15
Regulation W Policy Reference - Topic 16
Other Legal and Regulatory References - Topic 17
Audit Policy - Topic 18
Staff Training - Topic 19
Retention of Documentation - Topic 20

This policy template (approximately 43 pages) is available to purchase from in Microsoft® Word format for $275.00.

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