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Insurance Agency Marketing Compliance Audit Checklist

This comprehensive audit checklist is designed to evaluate and ensure compliance of insurance agency marketing activities with regulatory requirements and industry best practices.

Insurance Agency Marketing Compliance Audit Checklist

by: audit-now
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About This Checklist

The Insurance Agency Marketing Compliance Audit Checklist is an essential tool for ensuring that all marketing activities adhere to regulatory requirements and industry best practices. This comprehensive checklist addresses key aspects of insurance marketing, from advertising content to social media practices and lead generation methods. By implementing regular marketing compliance audits, insurance agencies can mitigate legal risks, maintain ethical standards, and build trust with consumers while effectively promoting their products and services.

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Industry

Financial Services

Standard

NAIC Unfair Trade Practices Act

Workspaces

Insurance Agency Marketing Department

Occupations

Marketing Manager
Compliance Officer
Legal Advisor
Insurance Agent
Digital Marketing Specialist
1
Is all advertising material compliant with the NAIC Unfair Trade Practices Act?
2
Please describe the promotional materials being audited.
3
How many marketing violations were identified in the review?
Min: 0
Target: 0
Max: 100
4
Is the social media marketing compliant with established guidelines?
5
What comments do you have regarding the marketing ethics observed?
6
Are the lead generation practices compliant with the required regulations?
7
What mediums are being used for advertising in this campaign?
8
What is the total budget allocated for the marketing campaign?
Min: 0
Target: 0
Max: 1000000
9
Have all promotional materials received the necessary approvals?
10
What insights can you share regarding the marketing strategy used?
11
Is the email marketing campaign compliant with the CAN-SPAM Act?
12
Who is the target audience for the digital marketing campaign?
13
What is the click-through rate (CTR) for the digital marketing campaign?
Min: 0
Target: 0
Max: 100
14
Is the social media advertising compliant with platform guidelines?
15
What feedback do you have regarding the digital marketing approach used?
16
Does the advertising content comply with state and federal regulations?
17
Is the message delivered in the advertising clear and understandable?
18
What is the response rate from the advertising campaign?
Min: 0
Target: 0
Max: 100
19
Have all promotional materials been reviewed for compliance?
20
What insights can you provide on the effectiveness of the advertising campaign?
21
Are all advertising claims truthful and not misleading?
22
Describe the target market for the current advertising campaign.
23
What is the cost per acquisition for customers from this advertising campaign?
Min: 0
Target: 0
Max: 10000
24
Has the advertising content been approved by the compliance team?
25
What comments do you have on the overall marketing strategy used?

FAQs

It is recommended to conduct a comprehensive marketing compliance audit quarterly, with ongoing monitoring of new marketing materials and campaigns.

Key areas include advertising content review, social media practices, email marketing compliance, lead generation methods, disclosure requirements, and licensing verification for marketing personnel.

The audit team should include marketing managers, compliance officers, legal advisors, product specialists, and representatives from sales and customer service departments.

By ensuring compliance and ethical practices, the checklist helps build consumer trust, reduce wasted resources on non-compliant materials, and focus marketing efforts on approved, effective strategies.

Digital marketing is a key focus area, covering website content, social media posts, online advertisements, and email campaigns to ensure they meet regulatory requirements and industry standards.

Benefits of Insurance Agency Marketing Compliance Audit Checklist

Ensures compliance with state and federal insurance marketing regulations

Reduces the risk of regulatory fines and legal issues

Maintains consistency in brand messaging and promotional materials

Protects the agency's reputation by preventing misleading or deceptive marketing practices

Improves the effectiveness of marketing campaigns through ethical and compliant strategies