Dealership Compliance Manual


A failure to comply with Federal compliance mandates, and/or employee misunderstanding and lack of acknowledgment of regulatory mandates, could be placing the dealership at a perilous risk! Is your dealership truly prepared?



In accordance with various federal regulatory mandates, including provisions within the Dodd-Frank Act and FTC regulations, dealerships are required to maintain a Dealership Compliance Manual.

This Manual should be made readily available to ALL EMPLOYEES, and updated on a regular basis. Most industry experts suggest an annual review. This Manual should contain the dealership’s policy & procedures on how to maintain compliance with mandated rules, laws & regulations, including consumer privacy laws.

The NIADA (National Independent Dealers Association) has informed their members that:

“In previous dealership federal audits, investigations and civil litigation, independent dealers have been required to provide documented proof of all required compliance training and to produce all written Policies on demand. Failure to produce documentation of required training and/or Policies, has contributed to fines in the tens of thousands and even federal prison terms for the dealer.”

  • Dealerships are required to maintain a “Dealership Compliance Manual.”
  • Dealerships are required to maintain compliance with various federal regulatory rules and regulations and should provide formal employee education & training, on an annual basis, regarding federal rules, laws, regulations & mandates.
  • A documentation of employee compliance training should remain in the employee’s personnel file, and made readily available for potential government audits, and/or potential civil litigation.
  • All “New hires” should be provided training, immediately upon hiring, with appropriate documentation of training.
  • A recent industry article pointed out that “Several federal agencies require and advise that all…dealerships perform employee federal compliance training regarding these regulations” and furthermore that “Dealership employees should be retrained on regulations annually”