FINANCIAL COMPLIANCE ACTION CHECKLIST

Subject of Compliance	[U.S. Financial Law and Standards]
Company Name	[Your Company Name]
Regulatory Framework Used	[Graham-Leach-Bliley Act (GLBA), Sarbanes-Oxley Act of 2002 (SOX), and U.S. SEC Regulations]
Date	Month, Day, Year]
Prepared by	[Your Name]

This checklist is designed to help [Your Company Name] adhere to the U.S. financial laws and standards while reinforcing the brand's unique identity.

• GLBA Compliance

• Ensure only authorized personnel have access to consumer financial data.

• Regularly review and update data privacy policies.

• Implement robust data security measures.

• Perform annual GLBA risk assessment.

• Regularly educate staff about GLBA compliance.

• SOX Compliance

• Maintain accurate financial records.

• Establish internal controls to prevent fraud.

• Regularly audit and update these internal controls.

• Ensure corporate officers certify the accuracy of financial reports.

• Regularly review and remediate any identified issues.

• U.S. SEC Regulations

• Ensure full transparency in all financial disclosures.

• Adhere to trading rules and restrictions.

• Regularly update knowledge about shifting SEC regulations.

• Establish a robust insider trading policy.

• Ensure a secure system to prevent data breaches.

Next Steps: Upon completion of this checklist, businesses are encouraged to review and update their practices regularly to ensure ongoing compliance. We recommend quarterly reviews or after any regulatory updates.