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Advertising, Sales & Finance

Our compliance solutions promote transparency, disclosures, and customer satisfaction.


Compliance is a full time job. With our compliance system and team of F&I industry experts to guide you, you minimize risk, save money, and recapture countless hours of wasted time.

Advertising, Sales & Finance Solution


Improperly advertising, selling, and financing vehicles is an enormous risk to your business and reputation.  Benefits of our solutions include:


  • Identifying hidden problems in your advertising, sales, and F&I processes
  • Guidance from experienced F&I experts
  • On-site or remote assessments and auditing

10-Steps for Navigating Advertising, Sales & Finance Compliance

Complynet 10steps Sales and Ad Compliance Final


Step 1

Establish a Compliance Team

  • Department Managers:
    • Marketing
    • Sales
    • Finance
    • Accounting
  • Meet Quarterly
  • Track Progress


Step 2

Written Programs, Plans, and Policies

  • Consumer Compliant Management Program
  • OFAC Policy
  • Red Flags/Identity Theft Prevention Program (ITPP)
  • Fair Credit Program
  • Voluntary Protection Program


Step 3

Ongoing Trainings and Certifications

  • Adverse Action Rule
  • Equal Credit Opportunity Act (ECOA)/Reg B
  • Fair Credit Reporting Act (FCRA)
  • Financial Privacy Rule
  • IRS Form 8300
  • OFAC
  • Red Flags Rule
  • Risk Based Pricing
  • Unfair Deceptive and Abusive Acts and Practices (UDAAP)
  • + more

Step 4

Deal Jacket Audits

Conduct deal jacket audits via secure upload (or in-person) for:

  • Improper Disclosures
  • Missing Forms
  • Incomplete Documents
  • F&I Manager Trends

Step 5

Website, Social Media, and Advertising Assessments

Spot assessments of website for:

  • Reg Z Violations
  • Reg M Violations
  • State Law Violations
  • Violations of Motor Vehicle Trade Regulation Rule (if passed)


Step 6

Lot Management Assessments

Spot assessments of lot management for:

  • Monroney Sticker Violations
  • FTC Buyers Guide Violations
  • Key Fob Control
  • Plate/Tag Management


Step 7

Track Issues to Resolution

Flagged issues from periodic assessments:

  • Automatically generate and assign eTasks
  • eTasks may be reassigned
  • eTasks are tracked until resolution
  • Resolutions are fully documented

Step 8

Consumer Complaint Management (FairShake)

Capture and resolve consumer complaints before regulator involvement:

  • Complaint Form Accessed via:
    • Website Link
    • Email Link
    • QR Code (on signage at facility)
    • Assigned Agents
    • Escalation
    • Documented Communications
    • Dynamic Dash Boarding for Analyzing Complaints

Step 9

Quarterly Meetings

  • Review Progress
    • Training
    • Assessments
    • Remediation
  • Industry News
  • Best Practices
  • Complaint and Claims Review for Implementing Remedial Measures

Step 10

Annual Reporting

The following reports are prepared annually for executive leadership:

  • Annual report of proactive efforts for insurance carrier
  • Red Flags/ITPP annual review
  • Consumer complaint trend analysis


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We Simplify Dealer Compliance (4)