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How is Compliance Documentation defined in a legal contract?

• Compliance Documentation means all required documentation to certify that the customer conforms to the requirements of the [tariff]. This includes applications, final one-line diagrams, photos, test results, completed certificates of completion, test results for relays, inverter settings, insurance certificates, [schedule], agreements for landowners, easements for modifications of systems, and if the facility is net metering, [appendix]. Seen in 29 SEC filings
• Compliance Documentation means the required documents used to ascertain compliance during triennial certification audits and yearly unplanned life, health and safety inspections. Seen in 2 SEC filings
• Compliance Documentation means specific documents or information required to verify compliance with standards by a facility or program. Seen in 2 SEC filings
• Compliance Documentation means records, reports, pictures, blueprints, observation and interviews required to verify a program's adherence to standards. Seen in 2 SEC filings
• Compliance Documentation means all necessary documentation required by a green building rating system showing the level of compliance achieved. This might include or exclude specific requirements as laid out by council resolution. Seen in 1 SEC filing
• Compliance Documentation means Notary’s proof of completion of training if any, proof of Notary’s authorization to perform Remote Online Notarizations, proof of enough insurance, and any other documentation that is required to ensure compliance with the law. The requirements for this documentation may be updated with reasonable notice. Seen in 1 SEC filing

Note: pulled this data out of the SEC EDGAR Database of 500,000 records from the past 22 years of filings. We regularly update this page as new filings and definitions come in.

yourself to verify these results. We are always keen to point people to source documents.

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Which definition should you use?

🤔 has combined and improved the above descriptions to create market-standard 'Genie definitions' below, with guidance on which documents and which industry to use for each.

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Genie Definition 1

• Compliance Documentation means the required records, reports, observations, and interviews that demonstrate adherence to applicable standards.

Relevant Contract Types

• Consultancy Agreement
• Non-Disclosure Agreements
• Supply of Services Agreements
• Partnership Agreements

Relevant Circumstances

• When a consultancy service is engaged to ensure standards compliance in a company.
• When a service provider is required to maintain certain standards while providing their service.
• When partners in a business are bound by specific standards of conduct or performance.

Relevant Sectors

• Professional Services
• Technology
• Healthcare

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Genie Definition 2

• Compliance Documentation means all necessary documents required under [governing law or standard] that signify satisfactory adherence to said law or standard.

Relevant Contract Types

• Employment Contracts
• Licence Agreements
• Lease Agreements
• Franchise Agreements

Relevant Circumstances

• When a company is hiring an individual and needs to ensure compliance with employment standards.
• When a company is licensing the use of its intellectual property and needs to ensure compliance with licence terms.
• When a landlord and tenant have a lease agreement that includes certain requirements or standards.
• When a franchisor and franchisee need to align their operations with specified standards.

Relevant Sectors

• Real Estate
• Retail
• Hospitality
• Franchising

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