Compliance Quiz Dealership Name * Name * Email * Compliance Officer * Has this Compliance Officer received initial training? * No Yes Is Red Flag Training been incorporated into Employee Training? Yes No Is Safeguard training incorporated into employee training? * Yes No The Red Flag Rule requires an Identity Theft Prevention Plan, we have provided one for you. Do you have your ITPP? * Yes No Do you employees have access to the ITPP? * Yes No Have there been any incidents of identity theft at your dealership this year? * Yes No If Yes, please explain Have there been any incidents of unresolved Red Flags? * Yes No If Yes, please explain Have there been any security breaches in the last year? * Yes No If Yes, please explain Are Adverse Action notices being sent when necessary? (Example- When a credit report is taken but no terms can be agreed upon) * Yes No Are Risk Based Pricing/Credit Disclosure reports being sent when necessary? * Yes No A "Covered Account" is an account where credit is offered to a customer. Please select your covered accounts below * Consumer Loans & Leases Business Loans & Leases Parts Service If you extend credit to customers in Parts & Service please explain how those accounts are set up, and how they are accessed. (example - Business fills out an application, Purchase Orders are used.) Do you allow offsite delivery of vehicles? * Yes No For offsite delivery does the customer appear in person to sign documents * Yes No For offsite delivery is the vehicle delivered to an address confirmed on the credit report? * Yes No Please explain any steps taken to ensure identity when doing offsite delivery Would you be interested in an offsite delivery checklist * Yes No Are out of state credit purchases allowed where a co-signer is not physically present? * Yes No If Yes, please explain steps taken to ensure co-signers identity Do all of your computers have up to date anti-virus software? * Yes No Do you have a process for removing employee passwords when no longer needed? * Yes No Are all of your driver's license scanners operating correctly? * Yes No If you have any questions or concerns regarding compliance or anything that we provide for you, please leave a note here and someone will reach out to you Submit
