Regulatory filings clause: Copy, customize, and use instantly
Introduction
A regulatory filings clause outlines the responsibilities of a party to submit necessary documents, reports, or disclosures to regulatory authorities. It ensures compliance with applicable laws, maintains transparency, and mitigates legal risks. This clause is essential in agreements involving regulated industries, such as finance, healthcare, and securities.
Below are templates for regulatory filings clauses tailored to different scenarios. Copy, customize, and insert them into your agreement.
Standard regulatory filings clause
This clause establishes a general obligation for a party to comply with all required regulatory filings within the necessary timeframes.
The [Party] shall prepare, file, and maintain all required regulatory filings, reports, and disclosures with the relevant governmental or regulatory authorities in accordance with applicable laws. The [Party] shall provide copies of such filings to the other party upon request.
Regulatory filings clause with notification requirement
This version includes an obligation to notify the other party of filings made and any issues encountered.
The [Party] shall prepare and submit all required regulatory filings in compliance with applicable laws and regulations. The [Party] shall promptly notify the other party of any material regulatory filings, correspondence from regulatory authorities, or any delays or issues that may impact compliance.
Regulatory filings clause with cooperation obligation
This variation requires both parties to cooperate in preparing and submitting regulatory filings.
Each Party shall cooperate in good faith to prepare and submit all regulatory filings necessary to comply with applicable laws. The Parties shall provide reasonable assistance and information to each other to ensure timely and accurate submission of such filings.
Regulatory filings clause with indemnification provision
This version includes an indemnification clause to protect against liabilities arising from non-compliance.
The [Party] shall be responsible for preparing and filing all required regulatory documents in compliance with applicable laws. The [Party] agrees to indemnify, defend, and hold harmless the other party from any losses, fines, or penalties arising from failure to make timely or accurate regulatory filings.
Regulatory filings clause with compliance assurance
This variation requires the filing party to ensure that all regulatory submissions comply with applicable laws and industry standards.
The [Party] shall prepare and submit all regulatory filings required under applicable laws, ensuring that such filings comply with all regulatory requirements and industry standards. The [Party] shall take all reasonable measures to correct any deficiencies identified by regulatory authorities.
Regulatory filings clause with audit rights
This clause grants the other party the right to audit regulatory filings to ensure compliance.
The [Party] shall make all required regulatory filings and shall maintain accurate records related to such filings. The other party shall have the right, upon reasonable notice, to audit and inspect such records to verify compliance with applicable regulatory requirements.
Regulatory filings clause with cost-sharing provision
This variation addresses cost-sharing for regulatory compliance obligations.
The Parties agree to share the costs associated with preparing and submitting any required regulatory filings. Each Party shall contribute [percentage or amount] toward expenses related to regulatory compliance, including filing fees and legal or consulting costs.
Regulatory filings clause with reporting obligation
This version requires regular reports on the status of regulatory filings.
The [Party] shall provide the other party with periodic reports detailing the status of all required regulatory filings, including submission dates, approvals, and any outstanding issues. Such reports shall be provided on a [monthly/quarterly] basis.
Regulatory filings clause with expedited filing requirement
This clause mandates that filings be submitted within a specified timeframe.
The [Party] shall ensure that all required regulatory filings are submitted within [number] days of the triggering event, regulatory deadline, or contract execution. Any delays shall be promptly communicated to the other party, along with corrective measures to ensure compliance.
Regulatory filings clause with material change disclosure
This variation requires disclosure of any material changes affecting regulatory filings.
The [Party] shall notify the other party in writing of any material changes that may impact regulatory filings, including changes in business structure, operations, or applicable regulations. Such notice shall be provided within [number] days of the change.
Regulatory filings clause with government liaison requirement
This version requires a designated representative to liaise with regulatory authorities.
The [Party] shall designate a compliance officer or representative responsible for coordinating and managing all regulatory filings. This representative shall serve as the primary liaison with regulatory authorities and provide updates to the other party upon request.
Regulatory filings clause with dispute resolution mechanism
This clause provides a mechanism for resolving disputes related to regulatory filings.
In the event of a dispute arising from regulatory filing requirements, the Parties shall first attempt to resolve the matter through good-faith negotiations. If no resolution is reached within [number] days, the dispute shall be submitted to mediation or arbitration in accordance with [jurisdiction] law.
Regulatory filings clause with third-party verification
This variation requires independent verification of filings by a third party.
The [Party] shall engage an independent third party to verify the accuracy and completeness of all regulatory filings prior to submission. The results of such verification shall be made available to the other party upon request.
Regulatory filings clause with penalty for non-compliance
This version imposes consequences for failure to meet filing obligations.
Failure by the [Party] to submit required regulatory filings in a timely and accurate manner shall result in [specified penalty], including but not limited to financial penalties, reimbursement of costs incurred by the other party, or termination of this agreement.
Regulatory filings clause with regulatory updates obligation
This clause requires ongoing monitoring and adaptation to regulatory changes.
The [Party] shall continuously monitor relevant regulatory requirements and update its filings as necessary to remain compliant. The [Party] shall notify the other party of any regulatory changes that may impact the agreement within [number] days of learning of such changes.
Regulatory filings clause with contingency planning
This variation requires advance planning for potential filing issues.
The [Party] shall develop and maintain a contingency plan to address potential delays, rejections, or regulatory changes affecting required filings. The plan shall be reviewed and updated regularly to ensure continued compliance.
Regulatory filings clause with subcontractor compliance
This clause extends compliance obligations to subcontractors.
The [Party] shall ensure that all subcontractors and third parties engaged in regulatory filing activities comply with applicable laws and regulations. The [Party] shall remain responsible for any non-compliance by its subcontractors.
Regulatory filings clause with confidentiality obligation
This version ensures that regulatory filings are handled with confidentiality.
The [Party] shall treat all regulatory filings and related communications as confidential information and shall not disclose such information to third parties without prior written consent, except as required by law.
Regulatory filings clause with cross-border compliance
This clause addresses regulatory filings in multiple jurisdictions.
Where regulatory filings are required in multiple jurisdictions, the [Party] shall ensure compliance with all applicable laws in each jurisdiction. The [Party] shall coordinate filings with relevant authorities and provide the other party with updates on cross-border compliance efforts.
Regulatory filings clause with waiver of liability for reliance
This version limits liability for reliance on regulatory filings.
The [Party] shall make regulatory filings in good faith and in compliance with applicable laws. However, the [Party] shall not be liable for any adverse regulatory determinations or enforcement actions based on such filings unless caused by willful misconduct or gross negligence.
Regulatory filings clause with environmental compliance
This clause ensures filings related to environmental regulations.
The [Party] shall submit all necessary regulatory filings related to environmental compliance, including but not limited to permits, emissions reports, and hazardous materials disclosures. The [Party] shall take all necessary measures to address any deficiencies identified by environmental regulators.
Regulatory filings clause with record retention requirements
This version mandates maintaining records related to regulatory filings.
The [Party] shall maintain accurate records of all regulatory filings and supporting documentation for a period of [number] years. Such records shall be made available to the other party or regulatory authorities upon request.
Regulatory filings clause with automatic updates provision
This clause requires automatic updates in case of regulatory changes.
The [Party] shall update all regulatory filings automatically upon any change in applicable laws or regulations. The [Party] shall notify the other party of any such updates within [number] days.
Regulatory filings clause with self-certification requirement
This variation requires the filing party to certify compliance with regulatory requirements.
The [Party] shall prepare and submit all required regulatory filings and shall certify in writing to the other party that such filings comply with all applicable laws and regulations. The [Party] shall provide copies of certifications upon request.
Regulatory filings clause with data accuracy obligation
This clause ensures the accuracy and completeness of submitted regulatory information.
The [Party] shall ensure that all regulatory filings contain accurate, complete, and up-to-date information. Any errors or omissions discovered post-submission shall be corrected promptly, with notice given to the other party.
Regulatory filings clause with cooperation in investigations
This version requires the parties to cooperate with regulatory investigations.
The Parties shall fully cooperate with any government or regulatory authority investigations related to submitted regulatory filings. Such cooperation includes providing requested documents, responding to inquiries, and making representatives available for interviews.
Regulatory filings clause with pre-filing review
This clause mandates internal review before regulatory filings are submitted.
The [Party] shall conduct a thorough internal review of all regulatory filings prior to submission to ensure compliance with applicable laws. The results of such reviews shall be documented and made available upon request.
Regulatory filings clause with joint submission requirement
This variation requires both parties to participate in regulatory filings.
The Parties shall jointly prepare and submit all required regulatory filings related to this Agreement. Each Party shall be responsible for reviewing and approving the filing before submission to ensure accuracy and compliance.
Regulatory filings clause with regulatory consultation provision
This clause mandates seeking regulatory guidance before submitting complex filings.
The [Party] shall consult with the appropriate regulatory authorities or legal counsel before submitting any complex or high-risk regulatory filings. Such consultations shall be documented and shared with the other party upon request.
Regulatory filings clause with retention of regulatory counsel
This version requires hiring specialized legal counsel for filings.
The [Party] shall retain qualified regulatory counsel to oversee the preparation and submission of all required regulatory filings. The counsel shall ensure that all filings comply with the latest legal and regulatory requirements.
Regulatory filings clause with limitation on amendments
This clause restricts unilateral amendments to regulatory filings.
The [Party] shall not amend or modify any regulatory filings related to this Agreement without the prior written consent of the other party, unless such amendment is required by law or regulatory authorities.
Regulatory filings clause with industry-specific compliance
This version addresses compliance with specific industry regulations.
The [Party] shall prepare and submit all required regulatory filings in compliance with industry-specific regulations applicable to [industry, e.g., healthcare, finance, telecommunications]. The [Party] shall ensure that all filings align with industry best practices.
Regulatory filings clause with notification of late filings
This clause requires notification if a regulatory filing is delayed.
If the [Party] is unable to submit a required regulatory filing by the applicable deadline, it shall notify the other party within [number] days of becoming aware of the delay. The notice shall include an explanation and a plan for corrective action.
Regulatory filings clause with independent oversight committee
This version requires regulatory filings to be reviewed by an oversight committee.
The [Party] shall establish an independent oversight committee responsible for reviewing and approving all regulatory filings before submission. The committee shall ensure that all filings meet applicable regulatory standards.
Regulatory filings clause with periodic training requirement
This clause requires ongoing training related to regulatory filings.
The [Party] shall ensure that all employees responsible for regulatory filings undergo periodic training to remain informed of current legal and compliance requirements. Training records shall be maintained and made available upon request.
Regulatory filings clause with liability waiver for regulatory decisions
This variation limits liability for regulatory determinations.
The [Party] shall not be liable for any regulatory authority’s decision to deny, delay, or modify any regulatory filing, provided that the [Party] acted in good faith and in compliance with all applicable laws.
Regulatory filings clause with third-party filing delegation
This clause allows delegation of filing responsibilities to an approved third party.
The [Party] may delegate the preparation and submission of regulatory filings to an approved third-party service provider, provided that the [Party] remains responsible for ensuring compliance with all applicable laws.
Regulatory filings clause with data protection compliance
This version ensures regulatory filings comply with data protection laws.
The [Party] shall ensure that all regulatory filings comply with applicable data protection laws, including but not limited to the secure handling, storage, and transmission of sensitive information.
Regulatory filings clause with performance monitoring requirement
This clause mandates monitoring compliance with filing obligations.
The [Party] shall implement performance monitoring procedures to track compliance with regulatory filing obligations. Any deficiencies identified shall be promptly addressed and reported to the other party.
Regulatory filings clause with pre-approval for external communications
This version requires pre-approval for regulatory communications.
The [Party] shall not issue any external statements, press releases, or public disclosures related to regulatory filings without the prior written approval of the other party, except as required by law.
Regulatory filings clause with right to cure deficiencies
This clause provides a cure period for non-compliant filings.
If any regulatory filing submitted by the [Party] is found to be deficient or non-compliant, the [Party] shall have [number] days to correct such deficiencies and resubmit the filing.
Regulatory filings clause with multi-agency compliance
This version ensures compliance with multiple regulatory bodies.
The [Party] shall ensure that all regulatory filings comply with the requirements of all applicable regulatory agencies, including but not limited to [list agencies]. The [Party] shall coordinate filings to avoid conflicting requirements.
Regulatory filings clause with dispute escalation procedure
This clause provides a structured process for resolving regulatory disputes.
If a dispute arises regarding regulatory filings, the Parties shall escalate the matter to senior executives for resolution. If no resolution is reached within [number] days, the matter shall be submitted to mediation or arbitration.
Regulatory filings clause with priority handling for urgent filings
This variation ensures expedited handling of urgent regulatory filings.
The [Party] shall prioritize regulatory filings that involve time-sensitive approvals, urgent compliance deadlines, or significant business impacts. The [Party] shall allocate additional resources as necessary to ensure timely submission.
Regulatory filings clause with quarterly compliance certification
This clause requires periodic certification of regulatory compliance.
The [Party] shall provide the other party with a quarterly certification confirming that all required regulatory filings have been submitted and are in full compliance with applicable laws.
Regulatory filings clause with employee accountability measures
This version holds employees accountable for regulatory compliance.
The [Party] shall implement accountability measures to ensure that employees responsible for regulatory filings fulfill their obligations. Non-compliance may result in disciplinary action, including termination.
Regulatory filings clause with force majeure exception
This clause exempts liability for filing delays due to unforeseen circumstances.
The [Party] shall not be held liable for any delay or failure to submit regulatory filings due to force majeure events, including but not limited to natural disasters, government actions, or technological failures.
Regulatory filings clause with technology automation requirement
This version mandates the use of automated tools for regulatory compliance.
The [Party] shall implement automated compliance tools to streamline the preparation, submission, and tracking of regulatory filings. The system shall ensure accuracy, reduce human error, and generate compliance reports.
Regulatory filings clause with mandatory error correction reporting
This clause requires prompt reporting of filing errors.
If any regulatory filing contains inaccuracies or errors, the [Party] shall report the issue to the other party within [number] days of discovery and take corrective action within [number] days.
Regulatory filings clause with annual external audit
This version mandates an external audit of regulatory compliance.
The [Party] shall engage an independent auditor to conduct an annual review of all regulatory filings to assess compliance with applicable laws. The audit findings shall be shared with the other party upon request.
Regulatory filings clause with notification of regulatory inquiries
This clause requires a party to notify the other party if a regulatory authority requests information or initiates an inquiry.
The [Party] shall promptly notify the other party of any inquiries, investigations, or requests for information from any regulatory authority related to regulatory filings. The [Party] shall provide copies of relevant correspondence and coordinate responses as necessary.
Regulatory filings clause with deadline extension request
This variation allows a party to request deadline extensions if needed.
If the [Party] anticipates that a regulatory filing cannot be completed by the required deadline, it shall request an extension from the relevant regulatory authority and provide written notice to the other party within [number] days of making such a request.
Regulatory filings clause with financial disclosure compliance
This clause applies to agreements requiring financial reporting.
The [Party] shall ensure that all financial regulatory filings, including disclosures required under applicable securities laws, are accurate, timely, and comply with all reporting standards. Any material changes in financial status affecting regulatory compliance shall be disclosed to the other party.
Regulatory filings clause with whistleblower protection
This version protects employees who report regulatory filing concerns.
The [Party] shall establish a process for employees to report concerns regarding regulatory filings without fear of retaliation. Any reports of non-compliance shall be investigated, and corrective action shall be taken as necessary.
Regulatory filings clause with licensing compliance
This clause ensures filings related to licensing requirements are maintained.
The [Party] shall complete all regulatory filings necessary to obtain, maintain, and renew any licenses, permits, or certifications required for the operation of its business. The [Party] shall provide proof of compliance to the other party upon request.
Regulatory filings clause with early-warning system for compliance risks
This variation requires monitoring systems for potential compliance risks.
The [Party] shall implement an early-warning system to identify and mitigate potential regulatory filing compliance risks. Any identified risks shall be reported to the other party with recommended corrective actions.
Regulatory filings clause with internal compliance hotline
This clause mandates an internal compliance hotline for reporting filing concerns.
The [Party] shall maintain a compliance hotline for employees and stakeholders to report concerns regarding regulatory filings. All reports shall be reviewed confidentially, and appropriate corrective measures shall be taken.
Regulatory filings clause with risk-based filing prioritization
This version prioritizes filings based on regulatory risk.
The [Party] shall assess all required regulatory filings based on their risk level and prioritize submissions accordingly. High-risk filings shall be completed first to mitigate potential legal exposure.
Regulatory filings clause with mandatory pre-submission legal review
This clause requires legal counsel review before submission.
The [Party] shall ensure that all regulatory filings undergo a legal review before submission to confirm compliance with applicable laws. Documentation of legal approvals shall be retained for audit purposes.
Regulatory filings clause with board approval requirement
This variation requires regulatory filings to be approved by the board of directors.
The [Party] shall obtain approval from its board of directors before submitting any regulatory filings that may impact corporate governance, financial reporting, or operational compliance.
Regulatory filings clause with industry association compliance
This clause ensures alignment with industry association guidelines.
The [Party] shall comply with all regulatory filing requirements established by relevant industry associations and professional bodies. The [Party] shall participate in industry compliance audits as required.
Regulatory filings clause with fines and penalties reimbursement
This version requires reimbursement for penalties due to filing failures.
If the [Party] fails to complete a required regulatory filing on time and such failure results in fines, penalties, or legal consequences, the [Party] shall reimburse the other party for all related costs and expenses.
Regulatory filings clause with alignment with international regulatory standards
This clause applies to companies operating in multiple jurisdictions.
The [Party] shall ensure that all regulatory filings comply not only with local regulations but also with applicable international standards, including those set by [specific regulatory bodies, e.g., GDPR, SEC, ISO].
Regulatory filings clause with commitment to electronic filings
This version mandates electronic submission where permitted.
The [Party] shall submit all regulatory filings electronically whenever permitted by law to improve efficiency, reduce errors, and expedite processing.
Regulatory filings clause with cybersecurity compliance
This clause ensures secure handling of regulatory filings.
The [Party] shall implement cybersecurity measures to protect all regulatory filings from unauthorized access, tampering, or data breaches. Any suspected breaches shall be reported to the other party within [number] hours.
Regulatory filings clause with translation and localization requirement
This variation applies to multinational agreements requiring filings in multiple languages.
The [Party] shall ensure that all regulatory filings required in jurisdictions with language requirements are translated accurately and comply with local regulatory frameworks. The [Party] shall retain certified translation services as needed.
Regulatory filings clause with recurring compliance audits
This clause mandates routine audits of filing procedures.
The [Party] shall conduct recurring compliance audits, at least [annually/quarterly], to assess the accuracy and timeliness of regulatory filings. Audit results shall be documented and shared with the other party upon request.
Regulatory filings clause with obligation to implement regulatory feedback
This version requires adjustments based on regulatory feedback.
If a regulatory authority provides feedback or requests changes to any filed documents, the [Party] shall promptly implement such changes and notify the other party of any material modifications.
Regulatory filings clause with mandatory corrective action plan
This clause requires a corrective action plan if filings are found non-compliant.
If any regulatory filing is found to be deficient or in violation of applicable laws, the [Party] shall develop and implement a corrective action plan within [number] days to address the deficiencies and prevent future occurrences.
Regulatory filings clause with contract termination for persistent non-compliance
This version allows termination if compliance failures persist.
If the [Party] repeatedly fails to complete required regulatory filings despite prior warnings, the other party may terminate this Agreement with [number] days’ notice, without liability.
Regulatory filings clause with disaster recovery compliance
This clause ensures filings remain compliant during disruptions.
The [Party] shall establish a disaster recovery plan to ensure continuity of regulatory filing obligations in the event of business disruptions, system failures, or force majeure events.
Regulatory filings clause with internal reporting hierarchy
This variation requires regulatory filings to follow a structured approval process.
The [Party] shall establish an internal reporting hierarchy for the preparation, approval, and submission of regulatory filings, ensuring oversight at multiple levels of management.
Regulatory filings clause with data retention policy
This clause mandates retaining filing records for a specified period.
The [Party] shall retain all records related to regulatory filings for a period of at least [number] years, in compliance with applicable record-keeping laws.
Regulatory filings clause with legal indemnification
This version provides indemnification for legal actions resulting from non-compliance.
The [Party] agrees to indemnify and hold harmless the other party against any claims, liabilities, or damages arising from failure to submit accurate or timely regulatory filings.
Regulatory filings clause with third-party reporting verification
This clause requires external verification of filing accuracy.
The [Party] shall engage an independent third party to verify the accuracy of all regulatory filings on a periodic basis and provide verification reports to the other party upon request.
This article contains general legal information and does not contain legal advice. Cobrief is not a law firm or a substitute for an attorney or law firm. The law is complex and changes often. For legal advice, please ask a lawyer.