FTC CONSENT ORDER COMPLIANCE REPORT

COVER PAGE

PART I: EXECUTIVE SUMMARY

Section A: Compliance Overview

This Compliance Report is submitted by [________________________________] ("Respondent" or "Company") pursuant to the Consent Order entered by the Federal Trade Commission on [__/__/____] in the matter of [________________________________], Docket No. [________________________________].

Overall Compliance Status:
☐ Full Compliance with All Provisions
☐ Substantial Compliance (exceptions noted below)
☐ Compliance in Progress (timeline provided)

Summary of Key Compliance Activities This Period:

1. [________________________________]
2. [________________________________]
3. [________________________________]
4. [________________________________]
5. [________________________________]

Section B: Company Information Updates

Current Legal Name: [________________________________]
Former/Trade Names: [________________________________]

Principal Business Address:
[________________________________]
[________________________________]
[________________________________]

Registered Agent for Service:
Name: [________________________________]
Address: [________________________________]

Key Personnel Changes Since Last Report:

PART II: ORDER PROVISION COMPLIANCE

Section A: Provision-by-Provision Analysis

Complete for each substantive provision of the Consent Order

Provision I: [Title/Description from Order]

Order Language (Summary):
[________________________________]
[________________________________]

Compliance Status: ☐ Full Compliance ☐ Partial Compliance ☐ In Progress

Compliance Activities Undertaken:

Evidence of Compliance:
[________________________________]
[________________________________]

Provision II: [Title/Description from Order]

Order Language (Summary):
[________________________________]
[________________________________]

Compliance Status: ☐ Full Compliance ☐ Partial Compliance ☐ In Progress

Compliance Activities Undertaken:

Evidence of Compliance:
[________________________________]
[________________________________]

Provision III: [Title/Description from Order]

Order Language (Summary):
[________________________________]
[________________________________]

Compliance Status: ☐ Full Compliance ☐ Partial Compliance ☐ In Progress

Compliance Activities Undertaken:

Evidence of Compliance:
[________________________________]
[________________________________]

[Add additional provision sections as needed]

PART III: REQUIRED DISCLOSURES AND CERTIFICATIONS

Section A: Acknowledgment of Order

Distribution of Order to Personnel:

Training Provided on Order Requirements:

Section B: Third-Party Assessments (If Required by Order)

Independent Assessor Information:

Name/Firm: [________________________________]
Qualifications: [________________________________]
Assessment Period: [__/__/____] to [__/__/____]
Report Date: [__/__/____]

Assessment Findings Summary:
[________________________________]
[________________________________]
[________________________________]

Assessor Conclusion: ☐ Compliant ☐ Non-Compliant ☐ Recommendations Made

Full assessment report attached as Exhibit [____]

Section C: Consumer Redress (If Applicable)

Redress Program Status:

Redress Distribution Timeline:
[________________________________]
[________________________________]

Section D: Monetary Obligations (If Applicable)

Civil Penalty Payment:

Disgorgement/Restitution:

PART IV: COMPLIANCE MONITORING PROGRAM

Section A: Internal Compliance Structure

Designated Compliance Officer:

Name: [________________________________]
Title: [________________________________]
Phone: [________________________________]
Email: [________________________________]
Date Appointed: [__/__/____]

Compliance Committee Members:

Reporting Structure:
[________________________________]
[________________________________]

Section B: Policies and Procedures

Policies Implemented Pursuant to Order:

Section C: Monitoring and Auditing

Internal Audits Conducted:

External Audits/Assessments:

PART V: ISSUES AND CORRECTIVE ACTIONS

Section A: Compliance Issues Identified

If no issues, check here: ☐ No compliance issues identified during reporting period

Section B: Corrective Actions Taken

Section C: Self-Reported Violations (If Any)

Voluntary disclosure of any potential violations:

Date of Violation: [__/__/____]
Nature of Violation: [________________________________]
Discovery Method: [________________________________]
Immediate Response: [________________________________]
Remedial Measures: [________________________________]
Preventive Measures Implemented: [________________________________]

PART VI: RECORDKEEPING COMPLIANCE

Section A: Document Retention

Records Maintained Pursuant to Order:

Section B: Document Availability

☐ All documents required to be maintained under the Order are available for inspection by FTC staff upon reasonable notice.

Location of Records: [________________________________]
Contact for Document Requests: [________________________________]

PART VII: SUCCESSOR AND ASSIGNS

Section A: Corporate Changes

During the reporting period, has the Company:

☐ Merged with or acquired another entity?
☐ Been acquired by another entity?
☐ Sold all or substantially all of its assets?
☐ Changed its corporate structure?
☐ Filed for bankruptcy?
☐ None of the above

If any box checked, provide details:
[________________________________]
[________________________________]

Section B: Notification of Successors

If applicable, the following successors/assigns have been notified of Order obligations:

PART VIII: CERTIFICATION AND VERIFICATION

Section A: Certification

I, [________________________________], am [title] of [Company Name] and am authorized to make this certification on behalf of the Company.

I hereby certify that:

1. I have read the Consent Order in this matter and understand its requirements.

2. I have reviewed this Compliance Report and the attached exhibits.

3. The statements and representations made in this Report are true and accurate to the best of my knowledge, information, and belief.

4. [Company Name] is in compliance with all provisions of the Consent Order, except as specifically noted herein.

5. I understand that making false statements or representations in this Report may constitute a violation of 18 U.S.C. § 1001 and may subject the Company to additional enforcement action.

Signature: _________________________________
Printed Name: [________________________________]
Title: [________________________________]
Date: [__/__/____]

Section B: Notarization (If Required)

State of [________________________________]
County of [________________________________]

Sworn to and subscribed before me this [____] day of [________________], 20[____].

Notary Public: _________________________________
Commission Expires: [__/__/____]

[NOTARY SEAL]

PART IX: EXHIBIT LIST

PART X: SUBMISSION INSTRUCTIONS

Method of Submission

☐ Electronic submission via FTC secure portal
☐ Overnight delivery to:

Compliance Division
Federal Trade Commission
600 Pennsylvania Avenue, NW
Washington, DC 20580

Attention: [________________________________]
Reference: Docket No. [________________________________]

Copy to Assigned Staff

[Staff Attorney Name]
[Bureau/Division]
Federal Trade Commission
[Address]
[Email]

SOURCES AND REFERENCES

• 16 CFR § 2.33 - Compliance Reports
• FTC Compliance Reports - Reinforcing Commitment to Effective Orders
• FTC Consent Order Procedures

This template is designed for use by legal professionals assisting clients in preparing FTC Consent Order Compliance Reports. All reports should be reviewed by counsel experienced in FTC matters before submission.