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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.

Description

Non-Deposit Investment Products Policy

The purpose of this Non-Deposit Investment Products 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.

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