AUTOMOTIVE DEALERSHIP COMPLIANCE CHECKLIST

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--- FEDERAL & STATE LICENSING ---
[ ] Dealer License Expiration Date
[ ] Salesperson License Expiration Date
[ ] Dealer License Status (Active, Inactive, Suspended, Revoked)
[ ] Dealer License Number
[ ] Copy of Dealer License (Front)
[ ] Copy of Dealer License (Back)
[ ] Business License Type (Corporation, Partnership, Sole Proprietorship, LLC)

--- TRUTH IN ADVERTISING ---
[ ] Review of Current Advertising Materials
[ ] Accuracy of Stated MPG (Verified Accurate, Needs Verification, Inaccurate - Requires Correction)
[ ] Disclosure of Fees & Charges (Clearly Disclosed, Needs Clarification, Missing Disclosure)
[ ] Advertising Channels Reviewed (Website, Social Media, Print Ads, Radio, Television)
[ ] Specific Claim Being Verified (e.g., 'Lowest Price')
[ ] Truthfulness of Vehicle Description (Accurate, Requires Adjustment, Misleading)

--- FAIR CREDIT REPORTING ACT (FCRA) ---
[ ] Consumer Name
[ ] Date of Credit Report Obtained
[ ] Purpose of Credit Report? (Credit Application, Employment, Insurance, Rental Application, Other)
[ ] Summary of Adverse Action Notice (if applicable)
[ ] Adverse Action Taken? (Yes, No)
[ ] Number of Consumers whose reports were obtained
[ ] Copy of Adverse Action Notice (if applicable)

--- CONSUMER PROTECTION LAWS ---
[ ] Summary of State Consumer Protection Act
[ ] Cooling-Off Period Applicable? (Yes, No, Not Applicable)
[ ] Cooling-Off Period Duration (Days)
[ ] Last Review Date of Consumer Protection Policies
[ ] Relevant State Consumer Protection Areas Covered (Select All That Apply) (Deceptive Practices, Truth in Advertising, Fair Credit, Contract Terms, Product Safety, Privacy Rights)
[ ] Record of any Consumer Complaints Received (and Resolution)

--- DMV REPORTING REQUIREMENTS ---
[ ] Last DMV Reporting Submission Date
[ ] Number of Vehicles Reported This Period
[ ] Reporting Method (Electronic, Paper, Other)
[ ] Vehicle Identification Number (VIN) Verification Method
[ ] Notes on Reporting Process or Issues Encountered
[ ] Form Type Submitted (Sales Report, Transfer Report, Other)

--- SALES CONTRACTS & DISCLOSURES ---
[ ] Purchase Price Disclosure
[ ] Down Payment Amount
[ ] Interest Rate (APR)
[ ] Loan Term (Months)
[ ] Total Finance Charge Disclosure
[ ] Trade-In Vehicle Information (Yes/No) (Yes, No)
[ ] Vehicle Description (VIN, Make, Model)
[ ] Contract Execution Date
[ ] Customer Signature

--- WARRANTY COMPLIANCE ---
[ ] Warranty Start Date
[ ] Warranty Mileage at Claim
[ ] Warranty Type (e.g., Basic, Extended) (Basic, Extended, Powertrain)
[ ] Description of Warranty Issue
[ ] Supporting Documentation (e.g., Repair Order)
[ ] Warranty Status (Pending Approval, Approved, Denied)
[ ] Claim Amount

--- LEMON LAW COMPLIANCE ---
[ ] Vehicle Purchase Date
[ ] Number of Repair Attempts
[ ] Detailed Description of Vehicle Defect(s)
[ ] Date of Initial Repair Attempt
[ ] Summary of Repair Records & Invoices (attach copies)
[ ] Did the repair restore the vehicle to acceptable condition? (Yes, No, Partial Restoration)
[ ] Repair Invoices & Documentation (required)
[ ] Arbitration/Mediation Status (Not Initiated, In Progress, Completed)

--- PRIVACY POLICY & DATA SECURITY ---
[ ] Data Encryption Method Used (AES-256, RSA, Other (Specify))
[ ] Summary of Privacy Policy Updates (Last Review)
[ ] Third-Party Data Sharing Practices (No Sharing, Limited Sharing (Specify), Full Sharing (Specify))
[ ] Date of Last Privacy Policy Review
[ ] Description of Data Security Measures
[ ] Number of Data Breach Incidents (Past Year)

--- EMPLOYEE TRAINING & RECORDS ---
[ ] Last Compliance Training Date
[ ] Training Modules Completed (Federal & State Licensing, Truth in Advertising, FCRA Compliance, Consumer Protection Laws, DMV Reporting Requirements)
[ ] Hours of Training Completed (Total)
[ ] Copy of Training Certificate
[ ] Notes on Individual Training Needs (if applicable)
[ ] Next Scheduled Training Date

--- RECORD KEEPING & DOCUMENTATION ---
[ ] Record Creation Date
[ ] Summary of Compliance Review Findings
[ ] Supporting Documentation (Contracts, Agreements)
[ ] Number of Contracts Reviewed
[ ] Record Type (Sales Contract, Warranty Claim, Compliance Audit, Training Records)
[ ] Next Review Date

--- ANTI-MONEY LAUNDERING (AML) ---
[ ] Last AML Policy Review Date
[ ] AML Training Completion Status (Employees) (Completed, In Progress, Not Started)
[ ] Number of Suspicious Activity Reports (SARs) Filed (Last Year)
[ ] Summary of Recent AML Risk Assessment Findings
[ ] Customer Due Diligence (CDD) Procedures Followed? (Yes, No)
[ ] Attach Latest AML Training Documentation

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