Compliance

This resource provides a US-style, jurisdiction-neutral outline template form of compliance certificate for use in connection with cross-border and US consultant, agency, and other service contracts to certify compliance with anti-bribery and anti-corruption laws, including the US FCPA and UK Bribery Act.

This document template provides an antitrust compliance manual to employees, outlining antitrust laws and providing guidance on cartels, contracts, monopolization, and interactions with competitors, customers, and suppliers, as well as a reporting system for potential violations.

This template provides a form questionnaire for obtaining information from persons covered by Rule 506(d) of Regulation D under the Securities Act, to determine if any disqualifying events have occurred.

This template statement of ethics provides guidance for commercial organisations to prevent bribery and demonstrate top-level commitment to the Ministry of Justice.

This online document is a template social media recall notice that meets the CPSA and CPSC standards for notifying consumers of a product recall.

This document is an outline template of a compliance certificate provided by an officer of the borrower in a loan financing.

This document template provides a policy for financial institutions to ensure compliance with federal laws regarding consumer complaints and disputes, such as the FCRA and FDCPA.

This Standard Document provides a template form of corporate insider trading policy for a public company, with integrated notes and drafting tips, that prohibits insider trading and imposes additional restrictions on directors and officers.

This document template outlines the responsibilities and procedures for fiduciaries to comply with ERISA Section 404(c).

This policy provides an employer with a template to comply with the Immigration Reform and Control Act of 1986 (IRCA) and covers issues such as I-9 forms, E-Verify, Social Security no-match, immigration sponsorship, and discrimination in recruitment, hiring, and termination.

This policy template provides guidance on complying with anti-corruption and anti-bribery laws, including the US FCPA, by outlining policies on combating corruption, prohibited and permitted payments, political and charitable contributions, and cash payments.

This template provides guidance on how to implement a compliance program to prevent violations of the Hart-Scott-Rodino (HSR) Act when acquiring voting securities, including how to identify a client's ultimate parent entity (UPE) and the number and percentage of voting securities held by that UPE.

This policy template assists mortgage lenders in complying with the Home Mortgage Disclosure Act and its regulations as amended by the Consumer Financial Protection Bureau.

This policy template provides a financial institution with a way to comply with the FACT Act's requirements for creating an Identity Theft Prevention Program.

This template policy provides an importer of goods into the US with a way to ensure compliance with 19 U.S.C. § 1307, which prohibits the importation of goods made with forced labor, and outlines the responsibilities and due diligence measures to be taken.

This notice informs retirement plan administrators that they must distribute a document to participants when a covered document is available online, using the additional safe harbor for electronic disclosure which became effective in 2020.

This document template provides counsel with a list of antitrust warnings and guidance on how to handle conversations that may violate antitrust laws in a joint venture meeting.

This template provides employers with a Standard Document to fulfill the Labor Condition Application (LCA) Public Access File (PAF) requirements, along with an integrated note containing important explanations and drafting tips for the H-1B visa petition or E-3 visa classification request.

This document provides a template for employers to use as a cover sheet and list of documents for their Labor Condition Application (LCA) as part of the H-1B visa petition or E-3 visa classification request process.

This document provides a template for employers to fulfill the Labor Condition Application (LCA) notice requirement and Public Access File (PAF) document retention requirement, with an embedded notice confirmation and important explanations and drafting tips.

This template document provides employers with an integrated note containing important explanations and drafting tips for the Labor Condition Application (LCA) Public Access File (PAF) notice confirmation, which is the preliminary step in an employer's H-1B visa petition or E-3 visa classification request.

This template letter provides plan administrators with guidance on how to notify plan participants of coronavirus-related distributions and plan loan changes.

This document outlines the official rules for a national US mail-in random draw sweepstakes, including eligibility, how to enter, and prize awarding.

This online document is a template for a Medicare compliance plan for MAOs and PDPs, based on federal law and CMS guidance.

This online document outlines the official rules for a national US sweepstakes, including eligibility, how to enter, and prize awarding.

This contract outlines a limited relationship between a company running a promotion and a prize supplier.

This document is a template for granting a custodian's motion to be excused from certain obligations under the Bankruptcy Code.

This policy template prohibits the selective disclosure of material nonpublic information to analysts, institutional investors, and others in violation of Regulation FD (Fair Disclosure) for all public company employees and directors.

This online document provides an outline form to be used as a starting point for drafting an opinion to an issuer's transfer agent regarding a sale of restricted Shares in compliance with Rule 144 of the Securities Act of 1933.

This notice informs participants of an employer's matching or nonelective contributions to a safe harbor defined contribution plan, such as a 401(k), and meets Internal Revenue Code requirements for initial and annual notices.

This statement outlines corporate compliance with US export laws and regulations, including the EAR, ITAR, FTR, OFAC, and the antiboycott laws administered by the BIS and IRS.

This policy template provides a financial institution with a framework to ensure compliance with the TCPA and its implementing regulations.

This template facilitates the delivery of a foreign partnership loan participant's interest payments free of US withholding tax.

This policy template provides a financial institution with a framework for UDAAP compliance as outlined by the Consumer Financial Protection Bureau.