Non-Deposit Investment Products (NDIP) Policy - $275.00
The purpose of this Non-Deposit Investment Products (NDIP) Policy Template is to address the referral, sale, promotion, and marketing of non-deposit investment products (NDIP) to individual customers of a bank, credit union, or other type of 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 Non-Deposit Investment Products Policy Template (approximately 43 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $275.00.
Mix and Match Volume Pricing
Would you like to mix and match multiple policies, procedures or job descriptions and receive a special volume discount? Click here to see how much you can save.
Click here if you are a new financial institution client and are interested in receiving a sample version of this product by e-mail attachment.