whistleblower-protection-policy

Drafts board-adoptable whistleblower protection policies for public companies and non-profits. Covers SOX, Dodd-Frank, and state statute compliance, reporting channels, investigation procedures, anti-retaliation, and governance oversight. Use when drafting whistleblower policies, ethics reporting procedures, or compliance programs.

Drafts an enterprise Escheatment and Unclaimed Property Policy covering property identification, dormancy matrices, due diligence notices, NAUPA-format reporting, remittance, recordkeeping, and audit preparedness across all US state jurisdictions. Use when establishing or updating an unclaimed property compliance framework, preparing for state audits, or evaluating voluntary disclosure programs.

Drafts a board-adoptable Related Party Transaction Policy for U.S. corporations governing identification, Audit Committee review, approval, and disclosure of related party transactions. Enforces SEC Item 404(a)/Regulation S-K compliance and stock exchange listing standards. Use when creating or updating RPT policies for public or private companies, or when drafting corporate governance documents addressing conflicts of interest.

Drafts board-ready Suitability and Best Interest policies for broker-dealers under FINRA Rule 2111 and SEC Regulation Best Interest (Reg BI). Covers the four Reg BI component obligations, suitability framework, Form CRS integration, supervision, and recordkeeping. Use when drafting Reg BI compliance policies, suitability procedures, or best interest obligation frameworks for financial services firms.

Drafts an internal Promotional Materials Review Policy for life sciences and pharmaceutical companies under FDA oversight. Covers promotional review committee structure, fair balance requirements, substantiation standards, off-label prohibitions, recordkeeping, training, and auditing. Use when creating FDA promotional compliance governance frameworks, pharma advertising policies, or promotional review committee charters.

Summarizes policy documents, regulations, and legislative materials into structured briefings with compliance insights. Triggers when the user needs a policy summary, regulatory overview, legislative breakdown, or compliance briefing from uploaded policy materials.

Generates structured policy manual summaries that distill complex legal policies and compliance guidelines into employee-facing reference documents organized by functional area. Use when creating compliance manuals, employee policy guides, regulatory summaries, onboarding compliance materials, or organizational procedure handbooks.

Generates structured public policy briefs analyzing legislation across economic, social, legal, and implementation dimensions. Use when drafting legislative impact analyses, policy summaries, regulatory briefs, or government affairs memoranda for lawmakers, lobbyists, or civic organizations.

Produces structured, citation-backed summaries of U.S. insurance policies, endorsements, claims files, and coverage correspondence for coverage analysis and insurance litigation. Use when summarizing policies, declarations, claims files, reservation-of-rights letters, denial letters, or coverage disputes.

Drafts a U.S. financial-services insider trading policy covering MNPI definitions, preclearance, blackout windows, 10b5-1 plan governance, restricted/watch lists, reporting, and enforcement. Use when creating or updating insider trading policies for broker-dealers, investment advisers, or investment companies. Triggers: insider trading policy, 10b5-1 plan, preclearance, restricted list, blackout period, Reg FD, MNPI.

Drafts a board-approvable Information Security Policy covering data classification, access controls, encryption, incident response, breach notification, and enforcement. Tailored by industry and regulatory environment (HIPAA, GDPR, CCPA, GLBA, FERPA, PCI DSS). Use when drafting or overhauling an organization's foundational information security governance framework or cybersecurity policy.

Drafts Medicare incident-to billing compliance policies for healthcare practices. Covers eligibility criteria, direct supervision, documentation standards, audit programs, and FCA risk mitigation under 42 CFR 410.26, Medicare Benefit Policy Manual Ch. 15 §60.1, and 42 U.S.C. §1395x(s)(2)(A). Use when creating or updating incident-to policies, responding to OIG scrutiny, or establishing NPP billing compliance programs.