Federal Securities Laws: Key federal regulations including Securities Exchange Act of 1934, Sarbanes-Oxley Act of 2002 (SOX), and Dodd-Frank Wall Street Reform and Consumer Protection Act that govern securities and financial reporting requirements
Financial Reporting Standards: Compliance with Generally Accepted Accounting Principles (GAAP) and SEC reporting requirements for accurate and standardized financial reporting
Professional Standards: Requirements set by AICPA, state-specific CPA licensing requirements, and professional ethics guidelines that govern the conduct of financial professionals
Privacy and Data Protection: Regulations including Gramm-Leach-Bliley Act, state-specific data privacy laws, and GDPR compliance requirements for handling sensitive financial and personal data
Employment and Contract Law: State-specific contract laws, independent contractor regulations, and professional services agreement requirements that govern the engagement relationship
Confidentiality Requirements: Legal requirements for protecting trade secrets, non-disclosure agreements, and insider trading regulations to maintain client confidentiality
Liability and Insurance: Professional liability requirements, state-specific insurance requirements, and indemnification provisions necessary for risk management
Tax Regulations: Internal Revenue Code, state and local tax requirements, and tax reporting obligations that affect financial reporting and compliance
Industry-Specific Regulations: Specific compliance requirements based on the client's industry sector, such as banking, healthcare, or other regulated industries
State-Specific Requirements: State corporate laws, professional services regulations, and business practice requirements that vary by jurisdiction
