• Deposit Broker Compliance Checklist Form

    Complete this checklist to review deposit broker compliance readiness, program practices, disclosures, and recordkeeping before submission.

  • Broker and Business Information

  • Format: (000) 000-0000.

  • Deposit Program Details

  • Broker Role in Deposits*
  • Operating Channels Used

  • Marketing and Customer Acquisition Practices

  • Marketing channels used*
  • Are promotional claims reviewed for accuracy before use?*
  • Are customer-facing materials approved by compliance before publication?*

  • Customer Onboarding and Verification Process

  • Which verification or eligibility checks are performed during onboarding?*
  • What documents or information are requested from customers?*
  • How are onboarding exceptions or risk flags handled?*

  • Disclosures, Acknowledgments, and Recordkeeping

  • Are all required disclosures provided to customers?*
  • Are customer acknowledgments retained?*
  • Should be Empty:
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