GDPR & CAN-SPAM Compliance Checklist for Email Marketers

Table of Contents

Introduction

Email marketing remains one of the most powerful tools for reaching customers. But with power comes responsibility — especially when handling personal data and sending promotional content. Two major frameworks govern how marketers must manage consent, privacy, and email content:

GDPR (General Data Protection Regulation) — Applies to the European Union (EU) and anyone processing the data of EU residents.
CAN-SPAM Act — Applies to commercial email messages sent to or from the United States.

Failure to comply can result in serious penalties:

GDPR: Fines up to €20 million or 4% of annual global turnover.
CAN-SPAM: Up to $51,744 per violation (per email).

This checklist explains both regulations side-by-side and provides practical implementation steps for full compliance.

Section 1 — GDPR Compliance for Email Marketers

The GDPR emphasizes consent, data transparency, and user control. It affects anyone collecting or processing the personal data of EU citizens, regardless of where the sender is located.

1. Obtain Explicit Consent Before Sending Emails

Checklist:

Use opt-in forms that clearly state what subscribers are signing up for.
Avoid pre-checked boxes; users must take affirmative action to consent.
Store timestamp, IP address, and source of subscription as consent proof.
Use double opt-in (confirmation email) for stronger verification.

Example:
If a user fills a newsletter form, your form should say:
“By subscribing, you agree to receive our marketing emails. You can unsubscribe anytime.”

2. Provide a Clear Privacy Policy

Checklist:

Link your privacy policy from every signup form and email footer.
Clearly describe how you collect, use, store, and protect data.
Identify any third parties (CRM, analytics, cloud hosting) with access to subscriber data.
Explain data retention periods and deletion procedures.

Tip: Use plain language — GDPR discourages legal jargon.

3. Limit Data Collection to What’s Necessary

Checklist:

Collect only essential fields (e.g., name, email).
Avoid collecting demographic or behavioral data without clear justification.
Periodically review stored subscriber data for minimization.

Example: Don’t request location, birthdate, or phone number unless you truly need it for personalization or verification.

4. Allow Subscribers to Access, Edit, or Delete Their Data

Checklist:

Provide an easy way for users to request data access or deletion (e.g., via form or support email).
Respond to data requests within 30 days.
Ensure unsubscribing removes personal data from marketing systems.
Log deletion requests for auditing purposes.

Best Practice: Automate “forget me” workflows in your CRM to ensure compliance.

5. Disclose Data Processors and Storage Locations

Checklist:

Identify all vendors processing subscriber data (email platform, analytics, hosting provider).
Ensure each vendor has GDPR-compliant data handling agreements.
Store EU user data within the EU or use providers with approved data transfer mechanisms (e.g., Standard Contractual Clauses).

6. Use Secure Data Handling Practices

Checklist:

Encrypt databases and use HTTPS on signup pages.
Restrict employee access to marketing lists.
Regularly audit permissions in your marketing tools.
Implement 2FA (two-factor authentication) for admin accounts.

7. Include a Clear Unsubscribe Option

Checklist:

Every marketing email must have a visible unsubscribe link.
Unsubscribe actions must be immediate or within a reasonable timeframe (typically 48 hours).
Do not ask for login credentials or extra steps to unsubscribe.
Clearly state in your privacy policy how unsubscribes are handled.

8. Maintain an Internal Data Register

Checklist:

Document what data you collect, where it’s stored, and who accesses it.
Record each data processing purpose (marketing, analytics, customer support).
Keep records for audits or Data Protection Authority requests.

9. Appoint a Data Protection Officer (DPO) if Required

Checklist:

Required if your company processes large volumes of personal data or tracks user behavior.
The DPO ensures data compliance, responds to requests, and trains staff.

10. Prepare for Data Breach Notifications

Checklist:

Implement monitoring to detect unauthorized access.
If a breach occurs, notify the relevant authority within 72 hours.
Inform affected users if the breach poses a risk to their data privacy.

Section 2 — CAN-SPAM Compliance for Email Marketers

The CAN-SPAM Act regulates commercial emails (advertisements or promotions). It’s more permissive than GDPR but has strict rules about truthfulness, opt-outs, and sender identification.

1. Don’t Use Misleading Headers or Subject Lines

Checklist:

“From,” “To,” and “Reply-To” fields must accurately identify the sender.
Subject lines must reflect the actual content of the email.
Avoid deceptive tactics like “Re:” or “Fwd:” unless genuinely applicable.

Example:
❌ “Invoice Attached” for a sales pitch.
✅ “Your October Newsletter from Acme Tools.”

2. Identify the Message as an Advertisement

Checklist:

Clearly label promotional content as an advertisement, unless the recipient has explicitly opted in to receive it.
Use clear language like “This is a promotional email from…”
Make sure your brand identity is obvious (logo, colors, contact info).

3. Include a Valid Physical Postal Address

Checklist:

Every marketing email must include your company’s valid postal address.
Can be a physical office, P.O. box, or commercial mail-receiving agency address.
Keep the address updated across all campaigns.

4. Provide a Clear and Simple Opt-Out Mechanism

Checklist:

Include a visible “unsubscribe” link in every email.
The opt-out process must be simple and immediate (no login or survey required).
Process opt-outs within 10 business days.
Once unsubscribed, never email the person again unless they opt-in anew.

5. Monitor Third-Party Email Service Providers

Checklist:

Even if you hire an agency or ESP, you’re legally responsible for compliance.
Ensure contracts explicitly require CAN-SPAM compliance.
Regularly audit your ESP’s mailing lists, headers, and unsubscribe functionality.

6. Distinguish Between Transactional and Promotional Emails

Checklist:

Transactional emails (e.g., receipts, order updates) are exempt, but only if their content is primarily transactional.
Mixed-content emails (e.g., invoice + promo code) are still partially subject to CAN-SPAM rules.

Section 3 — Combined Best Practices (GDPR + CAN-SPAM)

To stay compliant across both frameworks, follow these universal rules:

Principle	GDPR Focus	CAN-SPAM Focus	Best Practice
Consent	Explicit opt-in required	Not required, but implied allowed	Always use double opt-in
Opt-out	Immediate and free	Must process within 10 days	Make one-click unsubscribes mandatory
Transparency	Disclose how/why data is collected	Identify sender and ad nature	Include clear privacy policy link
Data storage	Secure, minimal, time-limited	Not specified	Encrypt and anonymize old data
Content honesty	Accuracy required	No misleading subject lines	Avoid spammy claims and deceptive language
Record keeping	Mandatory consent logs	Recommended	Maintain subscription logs for 2+ years

Section 4 — Audit and Maintenance Framework

Quarterly Email Compliance Audit

Task	Frequency	Responsible
Review subscription forms	Quarterly	Marketing Ops
Test unsubscribe link flow	Monthly	QA / Campaign Manager
Verify SPF, DKIM, DMARC	Monthly	IT / Security
Audit data retention policy	Biannually	Data Protection Officer
Review vendor agreements	Annually	Legal / Compliance
Update privacy policy	Annually or as laws change	Legal Team

Section 5 — Case Example: “EcoFit” GDPR & CAN-SPAM Implementation

Scenario:
EcoFit, a UK-based fitness retailer, launched email campaigns targeting customers in the EU and U.S. They needed full compliance with both laws.

Actions Taken:

Switched from single opt-in to double opt-in via Mailchimp API.
Updated privacy policy with full disclosure of data usage and storage.
Added unsubscribe footer to all templates and automated removal from CRM.
Implemented SPF, DKIM, and DMARC for brand trust.
Added postal address in footer and “advertisement disclosure” for U.S. audiences.
Appointed an internal data protection coordinator.

Outcome:

Complaint rate fell by 65% (from 0.18% to 0.06%).
Deliverability improved due to authentication and better trust signals.
Passed GDPR audit and internal CAN-SPAM review.

Section 6 — Final Compliance Checklist (Quick Reference)

✅ Consent & Transparency

Double opt-in required.
Store consent records securely.
Privacy policy accessible on all forms.

✅ Email Content

Honest subject lines and sender info.
Clear advertisement identification.
Include postal address.

✅ Unsubscribe & Rights

One-click unsubscribe in every email.
Process opt-outs quickly (48h GDPR / 10 days CAN-SPAM).
Allow data deletion upon request.

✅ Data Protection

Encrypt and minimize data.
Restrict staff access.
Maintain breach-response protocol.

✅ Documentation

Maintain a Data Processing Register.
Review compliance quarterly.
Keep proof of vendor compliance.

Conclusion

Compliance with GDPR and CAN-SPAM isn’t just a legal obligation — it’s a foundation for trust and deliverability. Ethical data practices, transparent consent mechanisms, and respect for user preferences improve not only your brand reputation but also inbox placement and engagement rates.

Building compliance into your email workflow early ensures long-term sustainability and reduces the risk of legal or reputational damage.

Case Studies

Email marketing remains one of the most powerful channels for driving engagement and conversions. However, without proper compliance, businesses risk hefty fines, loss of customer trust, and legal penalties. Two major frameworks govern responsible email marketing today — GDPR (General Data Protection Regulation) and CAN-SPAM (Controlling the Assault of Non-Solicited Pornography and Marketing Act).

Below is a detailed compliance checklist followed by real-world case studies demonstrating how companies successfully implemented these regulations — and what happens when they don’t.

1. Understanding the Frameworks

GDPR Overview (Europe)

The GDPR governs how personal data is collected, stored, and used within the European Union (EU). For email marketing, it focuses on lawful consent, data transparency, and user rights.

Key requirements:

Obtain explicit consent before sending marketing emails.
Provide clear unsubscribe options in every message.
Maintain a record of consent for auditing purposes.
Allow users to request data deletion or correction.
Ensure data is stored and transferred securely.

Penalties: Up to €20 million or 4% of annual global turnover, whichever is higher.

CAN-SPAM Overview (U.S.)

The CAN-SPAM Act governs commercial emails in the United States, focusing on message transparency and unsubscribe management.

Key requirements:

Use accurate sender information (“From,” “To,” and subject lines).
Identify messages as advertisements if applicable.
Include a valid physical postal address.
Provide a functional opt-out mechanism.
Honor opt-out requests within 10 business days.

Penalties: Up to $51,744 per email in violation.

2. Compliance Checklist for Email Marketers

Area	GDPR Requirement	CAN-SPAM Requirement
Consent	Must be explicit, freely given, and verifiable	Not required, but opt-out must be respected
Transparency	Privacy policy and data usage disclosure	Accurate sender and subject information
Opt-out Mechanism	One-click unsubscribe; immediate effect	Functional link; process within 10 days
Recordkeeping	Maintain logs of consent and communications	Maintain unsubscribe database
Security	Encrypted data storage and transfer	Not specified, but best practice
Cross-border Data Transfer	Must meet GDPR adequacy standards	Not applicable

3. Case Studies: Compliance in Action

Case Study 1: Mailjet – Building a GDPR-Compliant Email Platform

Background:
French-based email service provider Mailjet faced major challenges when GDPR took effect in 2018. The company needed to ensure that all clients sending emails through its platform were compliant.

Actions Taken:

Integrated double opt-in functionality for all users.
Updated data retention policies to comply with GDPR’s “right to be forgotten.”
Implemented a Consent Management System (CMS) for clients to log subscriber permissions.
Added automatic data encryption and anonymization features.

Results:

Mailjet achieved full GDPR compliance by mid-2018.
Customer trust improved, with a 27% increase in user retention.
Avoided legal risk while marketing itself as a “GDPR-ready” email platform.

Case Study 2: Uber – The Cost of Non-Compliance

Background:
In 2018, Uber was fined £385,000 by the UK’s Information Commissioner’s Office (ICO) for failing to protect customer data during a breach — a GDPR-related violation impacting email marketing campaigns as well.

Mistakes Made:

Insufficient encryption and access controls.
Did not notify users of data breaches promptly.
Continued sending marketing communications to users whose consent records were unclear.

Outcome:

Heavy fines and negative publicity.
Uber had to rebuild its entire data protection framework.
Introduced a centralized data compliance dashboard to manage permissions and communication preferences.

Lesson:
Neglecting consent records and security protocols can destroy brand credibility and lead to multimillion-euro fines.

Case Study 3: HubSpot – Operationalizing CAN-SPAM Compliance

Background:
HubSpot, a U.S.-based marketing automation platform, needed to ensure that its clients’ campaigns complied with the CAN-SPAM Act.

Actions Taken:

Every email template includes a pre-built footer with company address and unsubscribe link.
Automated opt-out tracking integrated across CRM and email workflows.
Developed compliance training for clients and internal teams.
Implemented a suppression list mechanism to prevent emailing unsubscribed users.

Results:

HubSpot reduced customer complaint rates by 35%.
Secured new enterprise contracts thanks to its “compliance-first” reputation.
Demonstrated proactive compliance during multiple audits.

Case Study 4: Flybe and Honda – The Cost of Ignoring Consent

Background:
Both Flybe (a UK airline) and Honda faced fines from the ICO in 2017 for violating GDPR consent rules.

Issues Identified:

Sent promotional emails to users who had not opted in.
Attempted to re-confirm consent using non-compliant “opt-in again” emails.
Failed to maintain records of original consent.

Penalties:

Flybe: £70,000 fine.
Honda: £13,000 fine.

Lesson:
Marketers must maintain explicit, traceable consent logs and avoid re-permissioning campaigns that violate the user’s previous consent state.

Case Study 5: Shopify Email – How to Build a Global Compliance System

Background:
Shopify launched “Shopify Email,” serving merchants worldwide — many subject to both GDPR and CAN-SPAM.

Actions Taken:

Integrated region-based compliance features (EU users = GDPR; U.S. users = CAN-SPAM).
Added customizable footer modules with company address and unsubscribe options.
Developed data residency policies ensuring EU data stays within compliant regions.
Enabled automated contact deletion for GDPR “right to erasure” requests.

Results:

Enabled over 170,000 businesses to send compliant marketing campaigns.
Drastically reduced spam complaints across multiple geographies.
Set a global benchmark for compliance automation in e-commerce marketing.

4. Steps to Maintain Ongoing Compliance

Audit your subscriber lists regularly — remove inactive or unverified contacts.
Use double opt-in for EU subscribers to ensure clear consent.
Provide clear unsubscribe options in every email footer.
Keep consent logs and communication history securely.
Review privacy policies at least once per year.
Train marketing teams on legal frameworks and updates.
Use secure and compliant email platforms (e.g., Amazon SES, SendGrid, or Postmark).
Encrypt stored data and control access based on roles.
Monitor cross-border data transfers (especially when dealing with EU citizens).
Regularly test unsubscribe and data deletion workflows.

Conclusion

Achieving full GDPR and CAN-SPAM compliance isn’t just about avoiding fines — it’s about building trust and credibility. The most successful email marketers use compliance as a competitive advantage, demonstrating respect for user data while improving deliverability and engagement.

Whether you’re a small business or a large enterprise, implementing these principles ensures that your email marketing efforts are ethical, transparent, and sustainable for the long term.

Key Takeaway:
Treat compliance not as a legal burden but as a strategic pillar of customer communication. The companies that do so — like Mailjet, HubSpot, and Shopify — consistently outperform competitors who see it merely as a checkbox exercise.