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Marketing & Advertising Compliance: What Do We Have to Do? All-Day Streaming Event

In-depth, all day discussion of all things marketing and advertising compliance: what we must do, what we must avoid, best practices, examples, and much more.

Upcoming
Beginner Friendly
DATE

Thursday, March 5, 2026
10:00 am - 5:00 pm

INSTRUCTOR

Carl Pry

FORMAT

Live Stream

CREDIT TYPE

7 CRCM Credits

$849.00 or 4 Tokens

Includes: 12 months of OnDemand playback access

  • Artificial Intelligence (AI)
  • Auditing
  • Compliance
  • Customer Service
  • Deposit Compliance
  • General Compliance
  • Lending Compliance
  • Mortgage Lending
  • Risk Management/Legal
  • Sales
  • Bank Legal Counsel
  • Branch Manager
  • Compliance Officer
  • Consumer Lender/Retail Banker
  • Customer Service Representative
  • Internal Auditor
  • Marketing Officer/Business Development
  • Mortgage Lender
  • New Accounts Representative
  • Private Banker
  • Risk Manager
  • Senior Management

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In today’s UDAP/UDAAP environment, how you communicate in advertising is just as important as what you say. Regulators expect clear, conspicuous language, and recent enforcement actions show increasing scrutiny of both ad content and broader sales and marketing practices. Regardless of your institution’s size, it’s essential to learn from others’ missteps. With industry expectations shifting, examiner focus on marketing is at an all-time high. Practices once considered acceptable can now raise UDAAP concerns, and in the push to attract and retain customers, compliance requirements can be overlooked. Institutions must understand what they can, must, and cannot say in advertisements, as well as the rules governing promotional outreach such as emails, phone calls, and targeted campaigns. This full-day streaming event provides a comprehensive overview of advertising and marketing compliance. We’ll cover UDAAP expectations, technical rules within deposit and loan regulations, privacy considerations when using customer data, and requirements that apply to specific marketing programs. We’ll also address emerging risks tied to AI, algorithms, automated decisioning, social media, and other digital tools increasingly used by financial institutions. As the regulatory landscape becomes more complex, marketing teams must stay ahead of evolving standards. This session will help you navigate the requirements and protect your institution from compliance risk.

What You'll Learn

  • Core UDAP/UDAAP requirements, enforcement trends, and common advertising pitfalls
  • Managing conduct risk in sales, marketing, and third-party relationships
  • Digital and native advertising risks, including AI, algorithms, and personalization
  • Social media, testimonials, and influencer use—regulatory guidance and controls
  • Privacy, data use, and targeting considerations, including upcoming DFA 1033 impacts
  • Deposit, lending, mortgage, and investment product advertising requirements (Reg. DD, Reg. Z, NDIP, SAFE Act)
  • Fair lending, Fair Housing, REMA, and digital redlining risks in marketing
  • Telemarketing, email, text, and fax compliance (TCPA, TSR, CAN-SPAM, Junk Fax Act)
  • Prescreening, free credit reports, and FCRA-related marketing obligations
  • Promotions, contests, and disclosures—what’s permitted and what’s prohibited

Who Should Attend

Anyone involved in developing and marketing your institution's products and services, including the marketing department, compliance officers, auditors, business managers, sales and service staff, and anyone else whose duties involve promotion.

Carl Pry

Instructor Bio


Carl Pry is a Certified Regulatory Compliance Manager (CRCM) and Certified Risk Professional (CRP) who is a Senior Advisor for Asurity Advisors in Washington, DC. Through his more than 35-year working career, as well as through his experience as a banking attorney and officer, he has provided a variety of regulatory compliance and financial performance services to financial institutions and other clients throughout the country. He has written extensively regarding consumer and commercial compliance, tax, audit, and financial institution legal issues, and is a frequent contributor to and currently serves as the Chair of the Editorial Advisory Board for the ABA Bank Compliance magazine. He has spoken at scores of banking, compliance, and state bar associations, and has conducted training sessions for financial institutions across the country.


Continuing Education Credit Information

Marketing & Advertising Compliance: What Do We Have to Do? All-Day Streaming Event has been approved for 7 CRCM credits. This statement is not an endorsement of this program or its sponsor. Credits are redeemable for both Live and OnDemand viewing. For questions on certificates, please email support@oncourselearning.com. Certification holders must report these credits at https://aba.csod.com.

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