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About
Get The Facts
Debt settlement
Credit Repair
Credit Counseling
Bankruptcy
Tax Resolution
Student Loan Relief
Legal Services
OCCAM For Businesses
Certification
Sign In
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Join OCCAM
Compliance Checklist
Compliance Score Card
Company Name
Date
Officer Name
Company Address
Date of Audit
Company Type
Credit Repair
Debt Relief
Legal Services
Vendor Service
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General
Corporate Structure – Corporate structure is established and bylaws/operating agreement present
Exceeds
Meets
N.I
Corporate Registration – Corporation is properly registered in state(s) of operation
Exceeds
Meets
N.I
Corporate Address – PHYSICAL Corporate address is presented and verified
Exceeds
Meets
N.I
Corporate Phone – Company phone numbers are accurate and verified
Exceeds
Meets
N.I
Email Addresses – Company contact emails are provided, accurate and verified
Exceeds
Meets
N.I
Web Properties – All web properties in use were disclosed and verified
Exceeds
Meets
N.I
Social Media – All social media accounts disclosed and verified
Exceeds
Meets
N.I
Corporate Officers – Corporate officers with ownership of 5% or more disclosed and verified
Exceeds
Meets
N.I
Key Staff – Critical staff and department heads disclosed and verified
Exceeds
Meets
N.I
Marketing and Advertising – Marketing and Advertisements presented and verified
Exceeds
Meets
N.I
Channel Partners – Channel partners and service vendors disclosed and verified
Exceeds
Meets
N.I
Consumer Agreements – Consumer agreements presented and verified
Exceeds
Meets
N.I
Merchant Services – Merchant service provider(s) disclosed and verified
Exceeds
Meets
N.I
Corporate Banking – Corporate bank disclosed and verified
Exceeds
Meets
N.I
Trade References – Trade references presented and verified
Exceeds
Meets
N.I
Complaints – Complaints and complaint handling process presented and verified
Exceeds
Meets
N.I
Legal Actions – Legal actions (current and prior) disclosed and documented
Exceeds
Meets
N.I
Sales Materials – Sales scripts, rebuttals, email copy and related documents presented
Exceeds
Meets
N.I
Compliance Management System – Compliance management plan presented
Exceeds
Meets
N.I
Policies and Procedures – Policies and procedure documents presented
Exceeds
Meets
N.I
Training Program – Training program and manuals presented
Exceeds
Meets
N.I
Model Type – Business model disclosed and verified
Exceeds
Meets
N.I
Fee Collection -Fees and fee collection process disclosed
Exceeds
Meets
N.I
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COMPLIANCE I (CFPB UDAAP-SEC. 5 CPA-FTC TSR)
Marketing and Advertising – Marketing and Advertising meets/exceeds state & federal guidelines
Exceeds
Meets
N.I
Sales – Sales processes meets/exceeds state & federal guidelines
Exceeds
Meets
N.I
Consumer Facing Materials – Verbiage and message meets/exceeds state and federal guidelines
Exceeds
Meets
N.I
Licensing and Bonding – Company is licensed and bonded properly
Exceeds
Meets
N.I
Consumer Contracts – Consumer contract meets/exceeds state and federal guidelines
Exceeds
Meets
N.I
Fee Collection – Company collects fees in compliance with state and federal guidelines
Exceeds
Meets
N.I
Reputation - Complaint handling, negative press, consumer reporting sites, BBB investigated
Exceeds
Meets
N.I
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COMPLIANCE II
Some description about this section
Owner(s) Qualifications – Business owner(s) have acceptable experience
Exceeds
Meets
N.I
Data Security – Business has sufficient data security plan
Exceeds
Meets
N.I
Certifications and Training – Owners have received training and certification
Exceeds
Meets
N.I
ADA Compliance - Company has acceptable ADA compliant website
Exceeds
Meets
N.I
Reputation Management Plan - Company has reputation management plan
Exceeds
Meets
N.I
Disclosures - Company displays adequate disclosure statements
Exceeds
Meets
N.I
Continuity Plan - Company has minimum of 6 month continuity plan
Exceeds
Meets
N.I
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