Essential Corporate Compliance Documents

Common Corporate Compliance Questions

What is corporate compliance?

Businesses large and small need to follow laws and regulations enacted by state and federal governments. Corporate compliance is the ongoing process by which businesses—especially ones that have incorporated—ensure they’re following the rules set in place.

Why is corporate compliance important?

Corporate compliance, at its heart, is simply following the law. Broadly, it covers everything from insider trading to health inspections at restaurants to a keeping track of important meetings. For most small businesses, compliance is rather easy: follow the laws in your state and keep good records, especially if they pertain to financials or company decisions. If a business fails to keep up on its compliance tasks, it can incur all sorts of fines, from one time fees to tax penalties. 

What businesses does corporate compliance affect?

Corporate compliance affects all businesses. A company can be responsible for anyone who is acting within their authority and in the company’s interest—from the CEO to the newest hire. Because of this, everyone in the business is impacted. Thankfully, staying compliant doesn't take too much work—you just need to stay organized and keep good records.

What are important areas covered under corporate compliance?

Corporate compliance has a broad definition. While specific examples can be found in HIPAA compliance or Sarbanes–Oxley (Sox) compliance, everything from tax law to environmental law can fall under the banner of corporate compliance. Beyond simply ethics, corporate compliance includes adherence to any law or regulation, state or federal, enacted by the government.

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More Corporate Compliance Documents

Keep Things Official

Corporate Bylaws Set out how your corporation will be run
Corporate Minutes Memorialize your important meetings
Corporate Proxy Send someone else to vote on your behalf
Corporate Records Keep your internal files up to date
Board Resolution Record important decisions
Notice of Meeting Schedule an important corporate meeting
Unanimous Consent Record official transactions without a meeting
Corporate Resolution Record important decisions
Waiver of Notice Opt out of official meeting notices
Organizational Consent Approve bylaws without a meeting
Affidavit of Lost Corporate Document Verify the replacement of important documents

Manage Corporate Stocks

Stock Purchase Agreement Agree to buy or sell corporate stocks
Deal Letter Purchase additional stock
Voter Agreement Assert consensus with your fellow shareholders

Close Shop

Buy-Sell Agreement Determine how a stakeholder can exit
Liquidation Agreement End your business partnership amicably
Business Sale Agreement Sell a business
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