Automotive Dealership Compliance Checklist
Ensure your automotive dealership stays legally sound! Our Automotive Dealership Compliance Checklist helps you navigate complex regulations, minimize risk, and maintain smooth operations. Covering everything from licensing to advertising, this checklist is your essential guide to automotive compliance. Download now & drive confidently!
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Federal & State Licensing
Ensuring all required licenses and permits are current and displayed properly.
Dealer License Expiration Date
Salesperson License Expiration Date
Dealer License Status
Dealer License Number
Copy of Dealer License (Front)
Copy of Dealer License (Back)
Business License Type
Truth in Advertising
Verification of compliant advertising practices, avoiding misleading statements.
Review of Current Advertising Materials
Accuracy of Stated MPG
Disclosure of Fees & Charges
Advertising Channels Reviewed
Specific Claim Being Verified (e.g., 'Lowest Price')
Truthfulness of Vehicle Description
Fair Credit Reporting Act (FCRA)
Compliance with FCRA guidelines related to credit checks and disclosures.
Consumer Name
Date of Credit Report Obtained
Purpose of Credit Report?
Summary of Adverse Action Notice (if applicable)
Adverse Action Taken?
Number of Consumers whose reports were obtained
Copy of Adverse Action Notice (if applicable)
Consumer Protection Laws
Adherence to state and local consumer protection regulations.
Summary of State Consumer Protection Act
Cooling-Off Period Applicable?
Cooling-Off Period Duration (Days)
Last Review Date of Consumer Protection Policies
Relevant State Consumer Protection Areas Covered (Select All That Apply)
Record of any Consumer Complaints Received (and Resolution)
DMV Reporting Requirements
Timely and accurate reporting to the Department of Motor Vehicles (DMV).
Last DMV Reporting Submission Date
Number of Vehicles Reported This Period
Reporting Method
Vehicle Identification Number (VIN) Verification Method
Notes on Reporting Process or Issues Encountered
Form Type Submitted
Sales Contracts & Disclosures
Review of sales contracts and associated disclosures for legality and accuracy.
Purchase Price Disclosure
Down Payment Amount
Interest Rate (APR)
Loan Term (Months)
Total Finance Charge Disclosure
Trade-In Vehicle Information (Yes/No)
Vehicle Description (VIN, Make, Model)
Contract Execution Date
Customer Signature
Warranty Compliance
Verification of warranty documentation and adherence to warranty procedures.
Warranty Start Date
Warranty Mileage at Claim
Warranty Type (e.g., Basic, Extended)
Description of Warranty Issue
Supporting Documentation (e.g., Repair Order)
Warranty Status
Claim Amount
Lemon Law Compliance
Compliance with state lemon laws regarding vehicle defects and refunds.
Vehicle Purchase Date
Number of Repair Attempts
Detailed Description of Vehicle Defect(s)
Date of Initial Repair Attempt
Summary of Repair Records & Invoices (attach copies)
Did the repair restore the vehicle to acceptable condition?
Repair Invoices & Documentation (required)
Arbitration/Mediation Status
Privacy Policy & Data Security
Review and adherence to privacy policy and data security protocols.
Data Encryption Method Used
Summary of Privacy Policy Updates (Last Review)
Third-Party Data Sharing Practices
Date of Last Privacy Policy Review
Description of Data Security Measures
Number of Data Breach Incidents (Past Year)
Employee Training & Records
Maintenance of employee training records related to compliance matters.
Last Compliance Training Date
Training Modules Completed
Hours of Training Completed (Total)
Copy of Training Certificate
Notes on Individual Training Needs (if applicable)
Next Scheduled Training Date
Record Keeping & Documentation
Proper retention of all relevant compliance records and documentation.
Record Creation Date
Summary of Compliance Review Findings
Supporting Documentation (Contracts, Agreements)
Number of Contracts Reviewed
Record Type
Next Review Date
Anti-Money Laundering (AML)
Verification of AML policies and procedures (if applicable).
Last AML Policy Review Date
AML Training Completion Status (Employees)
Number of Suspicious Activity Reports (SARs) Filed (Last Year)
Summary of Recent AML Risk Assessment Findings
Customer Due Diligence (CDD) Procedures Followed?
Attach Latest AML Training Documentation
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