Stonebridge Financial is committed to upholding the highest standards of compliance, ethics, and regulatory integrity in the debt settlement industry. These Compliance Policies outline our standards and procedures to ensure transparency, client protection, and adherence to all relevant laws.
1. Regulatory Adherence: - Operate in full compliance with federal and state laws, including the Telemarketing Sales Rule (TSR) and state-specific debt settlement regulations. - Maintain updated business licenses, permits, and bonding as required by applicable jurisdictions.
2. Client Protection and Transparency: - Provide clear disclosures on services, fees, timelines, and risks to all clients. - Prohibit deceptive, misleading, or aggressive sales tactics.
3. Data Privacy and Security: -Comply with all applicable data protection and privacy regulations. - Implement robust security measures to safeguard client data and financial information.
4. Marketing and Advertising: - Ensure all advertisements, scripts, and communications meet truth-in-advertising requirements. - All marketing partners must adhere to our compliance standards.
5. Employee and Partner Training: - Provide regular compliance training for employees, contractors, and affiliates. - Require acknowledgment of ethical guidelines and strict adherence to compliance procedures.
6. Recordkeeping and Documentation: - Maintain accurate records of all client interactions, settlements, and internal processes. - Ensure retention policies comply with federal and state requirements.
7. Auditing and Oversight: - Conduct regular audits to monitor adherence to compliance policies. - Designate compliance officers to oversee implementation and corrective actions.
8. Reporting Violations: -Encourage employees and partners to report violations through secure reporting channels. - Investigate all violations promptly and take corrective action.
9. Policy Review: - Review and update these Compliance Policies at least annually or when significant regulatory changes occur.
Contact Us: Stonebridge Financial Email: [email protected] Phone: (888) 224-0911