Free Corporate Compliance Checklist Template
Corporate Compliance Checklist
Prepared by: [YOUR NAME]
Company: [YOUR COMPANY NAME]
Date: [DATE]
Corporate Governance
Task |
Completed (✓) |
---|---|
Maintain updated articles of incorporation and bylaws. |
|
Hold regular board meetings and document minutes. |
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Review and update corporate policies regularly. |
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Ensure directors and officers are fulfilling fiduciary duties. |
|
Regulatory Compliance
Task |
Completed (✓) |
---|---|
Stay up-to-date with federal, state, and local regulations. |
|
File annual reports with the appropriate agencies. |
|
Renew business licenses and permits. |
|
Conduct regular compliance audits. |
|
Implement and monitor anti-corruption and anti-bribery policies. |
|
Financial Compliance
Task |
Completed (✓) |
---|---|
Prepare and file accurate financial statements. |
|
Comply with tax filing requirements. |
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Conduct internal and external audits as necessary. |
|
Maintain a system for financial controls and accountability. |
|
Ensure compliance with SEC or other financial regulatory bodies (if applicable) |
|
Employment and Labor Compliance
Task |
Completed (✓) |
---|---|
Verify compliance with federal and state employment laws. |
|
Maintain accurate employee records. |
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Conduct training on workplace harassment and discrimination policies. |
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Implement safety protocols in line with OSHA standards. |
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Ensure proper classification of employees and contractors. |
|
Privacy and Data Protection
Task |
Completed (✓) |
---|---|
Comply with data protection laws (e.g., GDPR, CCPA) |
|
Ensure proper storage and encryption of sensitive data. |
|
Create and implement a data breach response plan. |
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Conduct regular cybersecurity risk assessments. |
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Update privacy policies and disclose them to stakeholders. |
|
Environmental Compliance
Task |
Completed (✓) |
---|---|
Comply with environmental regulations and standards. |
|
Maintain proper waste disposal and recycling procedures. |
|
Conduct regular environmental impact assessments. |
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Implement energy-saving and sustainability initiatives. |
|
Corporate Ethics
Task |
Completed (✓) |
---|---|
Establish and communicate a corporate code of ethics. |
|
Provide regular ethics training for employees. |
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Set up a confidential reporting system for ethical violations. |
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Investigate and address ethical breaches promptly. |
|
Contracts and Agreements
Task |
Completed (✓) |
---|---|
Maintain a centralized database of contracts |
|
Review contracts for compliance with applicable laws. |
|
Ensure proper authorization for signing contracts. |
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Monitor contract expiration dates and renewals. |
|
Risk Management
Task |
Completed (✓) |
---|---|
Identify and assess business risks regularly. |
|
Develop and update a corporate risk management plan. |
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Obtain adequate insurance coverage. |
|
Monitor compliance with internal controls. |
|
Prepare contingency plans for crises. |
|
Reporting and Documentation
Task |
Completed (✓) |
---|---|
Keep corporate records organized and accessible |
|
Ensure timely reporting to stakeholders. |
|
Maintain documentation of compliance measures. |
|
Archive records according to legal and corporate policies |
|
Training and Awareness
Task |
Completed (✓) |
---|---|
Provide compliance training for employees |
|
Update staff on changes to regulations and policies. |
|
Conduct awareness campaigns on key compliance issues. |
|
Ensure managers are equipped to enforce compliance standards. |
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