Welcome to the SI Regulatory and Compliance Reference Library. Here you can find official documents and authoritative publications that address many regulatory and risk management issues that our clients face. This site is routinely updated with information on federal, state, local, and international laws and regulations that affect background screening in a range of uses, including employment, transaction due diligence, prospective client/client continuation assessment and regulatory compliance.
Fair Credit Reporting Act (FCRA) and related
Fair Credit Reporting Act – Full Text
Fair Credit Reporting Act – Staff Report Sept 2011
Fair Credit Reporting Act – FTC Staff Opinions
Fair and Accurate Credit Transactions Act
FTC Testimony Re Credit Reports
NCLC Re Accuracy of Criminal Records
Reclaim your name FTC initiative 2013
State and local
Employment
Employment Background Check Basics – FTC
Banking and financial
Bank Secrecy Act Anti-Money Laundering Manual
CFPB Supervisory Highlights August 2012
FTC Examining Uses of Consumer Data
Detecting Red Flags in Board Reports
FTC – Complying with Safeguard Rule
OCC – Privacy of Consumer Information
OCC Risk Perspective Spring 2013
OCC Survey of Credit Underwriting Practices 2012
Regulatory Requirements for National Banks and Federal Savings
Accounting firm related
PCAOB – Reverse Mergers in China
Securities and investments
Disqualification of Bad Actors from Rule 506 Fact Sheet July 2013
SEC – Disclosure Reform – October 15 2013
SEC Guide – Raising Capital for Small Business – October 2013
Dodd-Frank
Corporate governance
Foreign Corrupt Practices Act (FCPA)
FCPA Resource Guide from SEC and DOJ
International
International Privacy Laws List
UK – Proposed Regulations of Private Investigators