Regulatory Document
Jump to navigation
Jump to search
A Regulatory Document is a legal document that can be used to create compliance frameworks (that support regulatory oversight and legal accountability).
- Context:
- It can provide a structured format for organizations to document compliance with regulatory requirements.
- It can ensure adherence to legal standards by outlining processes, disclosures, and operational guidelines.
- It can include mandatory filings like SEC forms, tax documentation, and environmental compliance reports.
- It can support regulatory review through clear and accessible documentation of activities and compliance measures.
- It can assist in legal defense by providing evidence of adherence to applicable laws and regulations.
- It can range from simple forms (e.g., single-page filings) to comprehensive reports (e.g., detailed compliance statements).
- It can integrate with regulatory platforms like EDGAR, FINRA systems, or state registries for submissions.
- ...
- Example(s):
- SEC Forms, which ensure compliance with financial disclosure requirements.
- Environmental Impact Statements, which assess compliance with environmental regulations.
- OSHA Compliance Documents, which demonstrate adherence to workplace safety standards.
- Tax Returns, which report financial information for taxation purposes.
- License Applications, which are required to obtain operational approvals in regulated industries.
- ...
- Counter-Example(s):
- Internal Policy Documents, which are not submitted to external regulatory bodies.
- Marketing Materials, which are intended for promotional purposes and not compliance.
- Personal Documentation, which does not serve a regulatory purpose.
- See: Legal Document, Compliance Reporting, Regulatory Filing, Governance Framework.
References
2024
- (Watson et al., 2024) ⇒ William Watson, Nicole Cho, Nishan Srishankar, Zhen Zeng, Lucas Cecchi, Daniel Scott, Suchetha Siddagangappa, Rachneet Kaur, Tucker Balch, and Manuela Veloso. (2024). “LAW: Legal Agentic Workflows for Custody and Fund Services Contracts.” In: arXiv preprint arXiv:2412.11063.