Non-Deposit Investment Products Policy
This Non-Deposit Investment Products Policy Template addresses the referral, sale, promotion, and marketing of non-deposit investment products (NDIP) to individual customers of a bank, credit union, fintech company, 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
- Regulation Best Interest Policy Reference – Topic 17
- Other Legal and Regulatory References – Topic 18
- Audit Policy – Topic 19
- Staff Training – Topic 20
- Retention of Documentation – Topic 21
This Non-Deposit Investment Products Policy Template (approximately 43 pages) is available to purchase from BankPolicies.com in Microsoft® Word format.
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