Business readiness

Regulatory Filings

What are Regulatory Filings?

Regulatory filings are time-bound documents required for submission by your company to relevant regulatory authorities across jurisdictions.

These documents are the letters, notices and reports (except IP and tax related filings) and can be submitted to federal, state, alternative government entities or relevant industry bodies.

The information contained within the filings covers the financial, operational, technological and legal aspects of your company.


  • Financial Filings:
    • Related to quarterly, half-yearly and annual financial reports of your company
  • Environmental Filings:
    • Related to compliance with environmental regulations across jurisdictions
  • Securities Filings:
    • Related to issue or withdrawal of securities and shareholder report
  • Other Filings:
    • Related to change of ownership and management; acquisition or sale of a business unit, or company; and business licenses or permits required to operate your business

Why are Regulatory Filings important for business today?

Having an up-to-date and comprehensive collection of regulatory filings enables your company to:

  • Keep track of what information has been provided to the regulator
  • Ensure that subsequent submissions are drafted having regard to the information already provided
  • Evaluate the resources required to comply with various regulations across jurisdictions
  • Mitigate any legal and operational risks related to any regulatory non-compliance across jurisdictions

Why are Regulatory Filings important for an event tomorrow?

Having an up-to-date and comprehensive collection of regulatory filings is important for an event tomorrow, as they help:

  • Assess current and potential regulations that may be applicable to your business across jurisdictions
  • Validate the financial data shared with regulatory authorities by your company
  • Evaluate your company’s profitability, scalability and expenses that are critical to due diligence
  • Safeguard against penalties in the form of legal fees, taxes and levies related to non-compliance
  • Forecast future earnings of your company by evaluating historical financial filings
  • Evaluate your company’s compliance with various regulations and the impact of non-compliance on business operations
  • Assess information on new licences/permits and their renewals

Pros of addressing Regulatory Filings

  • Consistent documentary evidence to mitigate legal risks
  • Transparency between regulatory authorities and your company
  • Strong financial background as financial statements are certified and submitted
  • Establish internal policies to ensure compliance

Cons of not addressing this topic

  • Increase in your company’s risk of liabilities, fines and litigation due to non-compliance
  • Reduced transparency in the correspondence with regulators
  • Increased time taken in, and cost of, due diligence for both internal company management and potential investors.

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