The AMA Handbook of Due Diligence

Regulatory Matters - Forms 17-12 And 17-13

Increasing regulation appears to be a fact of life in our economy. Therefore, it is important to understand both

the current and potential future impact of these regulations on the entity’s productivity and cost levels.

The impact is not limited to federal regulation. Differing state and local regulations are bringing about major

geographic shifts in job opportunities as employers relocate to areas with less restrictive regulations.

Regulatory Compliance Actions Form 17-13, provides for recording the nature and resolution of any regula-

tory compliance actions taken against the entity.

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ficers’ And Directors’ ...