Compliance

Core Compliance Areas

Corporate Compliance

• Annual Franchise Taxes & Reports: Required in Delaware and most states to maintain good standing.
• Minute Books & Records: Keeping your bylaws, consents, stock ledgers, and agreements organized avoids last-minute scrambles during diligence.

Securities Compliance

• Stock Issuances: Even private issuances must comply with federal and state securities laws.
• Exemptions: We help companies rely on safe harbors such as Rule 701 for equity grants or Regulation D for financings.
• Filings: Companies may need to file Form D with the SEC and related “blue sky” filings in relevant states.

Employment Compliance

• Worker Classification: Avoid misclassifying employees and contractors, which can lead to back pay and penalties.
• Wage & Hour Laws: Comply with overtime, break, and payroll rules, which vary by state.
• Mandatory Policies & Training: Anti-harassment, equal opportunity, and safety training requirements often apply once you reach certain headcounts.

Industry & Regulatory Compliance

Every industry carries unique rules:

• Healthcare, Fintech, and SaaS companies may need data security and privacy policies (HIPAA, GLBA, GDPR, CCPA).
• Licenses & Permits: Many businesses need local or state approvals to operate legally. We help you identify which requirements apply and how to meet them.

Why Compliance Matters

• Prevents Penalties: Avoid costly fines, audits, or investigations.
• Builds Investor Confidence: Clean compliance records reassure investors and acquirers.
• Saves Time: Proactive compliance prevents fire drills before financings or exits.
• Protects Reputation: Regulatory violations can harm brand and trust.

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‍Do all companies need to file with FinCEN under the Corporate Transparency Act?
Most small and early-stage companies do, but there are exemptions for large operating companies and certain regulated entities.

‍What happens if I don’t file a Form D after raising money?
Failing to file doesn’t automatically void the raise, but it can trigger SEC scrutiny and complicate future financings.

‍When do I need to worry about state “blue sky” filings?
Anytime you issue stock or options, we check the state laws where your investors or employees are located.

‍Do I need to register contractors or employees in every state where they work remotely?
Yes, usually. Remote workers can create tax and employment law obligations in their state, even if your company is incorporated elsewhere.

‍How do I know which licenses or permits I need?
It depends on your industry and location. We help you identify the relevantrules early so compliance doesn’t slow down growth.

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