Services - Compliance Audits

Safe Harbor Defenses

• Review legal “safe harbor” defenses contained in federal laws.
• Review requirements for eligibility for safe harbor defenses.
  

Create/draft safe harbor policies

• Create narrowly tailored policies and procedures specifically drafted for implementation by specific companies to ensure compliance with applicable laws and regulations.
• Create policies to enable companies to claim benefits and protections of safe harbor defenses.
• Assist with implementation of policies and procedures.

Instruct companies on required policies to ensure compliance with applicable state and federal laws and regulations

• Review requirements of policies which go above and beyond existing laws to ensure compliance with applicable state and federal laws and regulations.
• Instruct on policies and procedures required to ensure compliance in wake of recent US enforcement actions.

Create/draft policies necessary to ensure compliance in wake of recent US enforcement actions.

Create Telemarketing Compliance Manual

• Create do-not-call policy
• Create telemarketing compliance policy
• Create escalation plan and policy
• Create telemarketing complaint forms
• Create audit review forms
• Create telemarketing team

ATA membership recommended (Regulatory Guide /
Registration Guide)

In addition, I can provide the following for clients that retain my services:

a. On-site 2 day compliance seminar geared specifically for company

b. Opinion letter regarding state telemarketing and DNC registration requirements

• Discuss state telemarketing registration requirements in light of calling programs and US clients.
  
• Prepare legal opinion letter advising Dominican call centers on state telemarketing registration requirements.

c. State telemarketing registration services

• Work closely with client representatives to process registration forms.
• Apply for and purchase surety bonds on clients’ behalf.
  

d. Site audit of telemarketing call center(s) and review of practices, policies, procedures -- TBD

• Annual visit to call centers and corporate offices.
• Audit compliance policies and procedures to ensure compliance with US state and federal laws.
• Identify gaps in policies and procedures and potential areas of noncompliance with US state and federal laws.

Mitchell N. Roth, Esquire
Williams Mullen / A Professional Corporation
8270 Greensboro Drive, Suite 700, McLean, Virginia 22102
Phone: (703) 760-5201 / mroth@williamsmullen.com
http://www.williamsmullen.com/