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CAN-SPAM Compliance Review Worksheet

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Questions and Answers

According to the text, what is the purpose of the CAN-SPAM Examination Worksheet?

To identify weaknesses in internal controls, audit and compliance reviews, training, management oversight, or other factors

To discuss findings with the institution’s management and obtain a commitment for corrective action

To facilitate analysis and reporting of violations

To review audit work papers, evaluate bank policies, perform transaction testing, and train as appropriate (correct)

What is one of the key steps to be taken after identifying violations and weaknesses in the institution’s compliance program?

Discuss findings with the institution’s management and obtain a commitment for corrective action (correct)

Determine whether the violations are repetitive or systemic

Identify action needed to correct violations and weaknesses

Record violations according to agency policy

What is the primary purpose of the financial institution initiating e-mail messages according to CAN-SPAM Examination Worksheet?

Informational

Promotional

Commercial (correct)

Transactional

In the context of CAN-SPAM Examination Worksheet, what action should be taken if the financial institution does not initiate e-mail messages for commercial purposes?

Stop further assessment Signup and view all the answers

In the sending of commercial e-mail messages, what does the financial institution prohibit?

Use of false or misleading header information Signup and view all the answers

Does the financial institution use a functioning e-mail return address or other response mechanism for opt-out requests?

Yes, and they are displayed clearly and conspicuously Signup and view all the answers

Does the financial institution prohibit future transmissions of commercial e-mail messages within how many business days of receiving the opt-out request?

10 business days Signup and view all the answers

What does the financial institution's commercial e-mail message provide clearly and conspicuously?

Identification that the e-mail message is an advertisement or solicitation Signup and view all the answers

Does the financial institution prohibit the use of address harvesting or dictionary attacks as a means of obtaining consumer e-mail addresses?

Yes, it is prohibited Signup and view all the answers

Does the financial institution prevent the transmission of unlawful commercial e-mail messages by persons who access financial institution computers or computer network systems without authorization?

Yes, it prevents such transmission Signup and view all the answers