Unsolicited Contact and Sales Policy

A professionally drafted Unsolicited Contact and Sales Policy for banks, deposit-taking institutions and finance companies, covering product design, distribution and disclosure obligations. Global edition — written to international standards (Basel Committee, FATF, ISO, COSO, NIST and FSB) and deliberately jurisdiction-neutral, with bracketed prompts marking the points where your local law or regulator's requirements must be inserted. Supplied as a fully editable Microsoft Word document, de-identified and ready to adapt to your organisation. Typical owner: Chief Compliance Officer; approval: Board of Directors.

Typical owner	Chief Compliance Officer
Typical approval	Board of Directors
Length	~6,411 words (approx. 16 pages)
Last reviewed	July 2026 — verify currency for your circumstances before use
Format	Microsoft Word (.docx), fully editable
Delivery	Instant download after purchase; re-download any time from your account
Licence	Single-organisation licence
Guarantee	Materially defective or misdescribed? We'll resupply, replace or refund within 30 days — see Terms

Preview the first 6 pages (PDF) See the real cover, document control page and opening sections before you buy.

What's inside

• Contents
• 1. Purpose
• 2. Scope
• 3. Definitions
• 4. Regulatory Framework
• 5. Policy Statement
• 6. The Prohibition on Unsolicited Sales Contact
• 7. Customer Consent
• 8. Permitted Contact Channels and Situations
• 9. Sales Controls: Scripts, Call Recording and Campaign Approval
• 10. Roles and Responsibilities
• 11. Monitoring, Breach Identification and Reporting
• 12. Customer Remediation for Mis-Sold Products
• 13. Training and Awareness
• 14. Breaches of this Policy
• 15. Review of this Policy
• Appendix A: Consent Register — Minimum Data Fields
• Appendix B: Pre-Contact Checklist for Real-Time Sales Contact
• Policy Administration

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