Regulators are increasingly looking at marketing and other customer communications as an indicator of the health of a financial institution's overall compliance system. Broad investigations and examinations have started when a regulator sees issues with an advertisement, so the importance of implementing and reassessing marketing controls is greater than ever.

In this Ballard Spahr webinar, we will discuss how your compliance and legal teams should approach marketing reviews and implement appropriate controls regarding credit cards, prepaid cards, and deposit products and services. 


  • How regulators review advertisements
  • How to design advertising review checklists 
  • The policies and procedures needed to demonstrate to a regulator that effective controls are in place 
  • How to appropriately share responsibility for marketing with vendors 
  • Unique concerns with credit cards, prepaid cards, and deposits 


12:00 PM - 1:00 PM ET | Webinar


Alan S. Kaplinsky
Practice Leader, Consumer Financial Services Group

This program is open to Ballard Spahr clients and members of the financial services industry. There is no cost to attend. This program is not eligible for continuing education credits.

Please register at least two days before the webinar. Login details will be sent to all approved registrants. For more information, contact Lisa Prickril at

Related Practices

Consumer Financial Services
Mortgage Banking