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合规2022年3月17日

研究:遵守营业执照的第一步

The essential first step to managing 营业执照合规 is to conduct proper and thorough research regarding business license requirements specific to a company’s business activities in all locations.

从一开始到企业的整个生命周期, 营业执照合规 是至关重要的. 典型的业务事件——包括业务构造, 合并和收购, 推出新产品和服务, 企业名称变更, 新的地点, 和其他修订-往往触发新的营业执照要求.

在任何情况下,实现和 保持营业执照的合规性 是复杂的. Failure of an enterprise to comply with business license requirements can have detrimental effects on the business, 在极端情况下,从经济处罚和收费到关闭工地.

营业执照研究:基础而复杂

营业执照研究可能是一个具有挑战性的步骤. 以下是一些原因.

  • 在美国.S., 当地有数千个, 状态, 以及联邦司法管辖区或许可机构, 每个都有自己的需求.
  • 有数千种不同的许可证类型.
  • 信息,例如正确的许可授权机构以及如何与他们联系, 它们的需求和许可证类型通常不容易在基本级别之外找到. Thorough research requires extensive time either in online searches or talking directly with multiple government agencies.
  • 管理机构经常改变其许可证要求和形式.
  • A given licensing authority may have different timing and recurrence of filing requirements for different licenses. Understanding the requirements of one business license filing may not apply to other required filings.
  • Certain straightforward business events may cause new unforeseen licensing requirements. 例如, 在一些州, 更改企业名称或办公地点可能需要一个全新的许可证.
  • 某些类型的经营活动对营业执照有特殊要求. 例如, the requirements related to providing construction services vary significantly by 状态.

显然,有了这些变量, 营业执照的研究 是合规的关键的初始步骤吗. 这也是许多结构性问题可能发生的地方. Some enterprises fail to dedicate the right amount of attention to 营业执照的研究 if they underestimate its complexity or the time required to do it right. Other enterprises may rely on too few staff members or fail to provide adequate cross-training, leaving them vulnerable to 合规 failures when key employees separate from the organization. Even businesses with adequate internal controls and dedicated resources can miss requirements in this ever-changing landscape.

不符合是昂贵的

不完整的研究在逻辑上导致不完整的遵从. 如果不能获得和维护所有必需的业务许可证,成本可能会很高. 每年, 企业面临罚款, 处罚, 三因无营业执照而被迫停止经营活动的.

例如, a Fortune 500 company with many federal government contracts was required to pay more than $1 million in fines and 处罚 to various counties and towns in a single year, 所有这些都是由于营业执照相关的不合规.

The Department of Financial Services for New York ordered an insurance company to pay a $3 million penalty for soliciting and engaging in insurance business in New York without a license.
在加州, the Contractors State License Board (CSLB) regularly conducts sting operations to catch unlicensed contractors. The penalty for a first-time offense can include up to six months jail time in addition to a fine.

正如这些例子所说明的,不遵从可能导致:

  • 停止业务运作,直到所有违规行为被清除
  • Criminal 处罚 and the possibility for company officials to be summoned to appear in court on the company’s behalf
  • 被迫推迟并购, 新产品和服务的推出, and the opening of 新的地点 that threaten the success of the company’s strategic plans

聘请合规专家的价值

依赖合规专家来指导您的 营业执照的研究 为您的员工节省了大量的初始研究时间, 在持续的基础上给你快速的答案, 并且减少了遗漏需求的风险.

最好的合规合作伙伴将响应您的需求, have deep expertise in determining business license requirements for all industries across the country, and provide a full range of services to guide your organization through the research phase and beyond as your needs evolve.

寻找提供以下服务的研究服务:

  • 一份详细说明所有营业执照要求的全面报告
  • 所有必需的许可证费用和表格的最新详细信息
  • 目前在许可管辖区的联络点
  • 关于任何专业要求的提醒,如公证信函
  • Supporting information to help you understand when the requirements apply to your unique business (e.g. 收入阈值)
  • 协调复杂的需要(i.e., across many locations) so that licensing 合规 can be 管理d seamlessly and completely

Trusting qualified experts with your 营业执照的研究 needs is the first step toward peace of mind. An accurate and complete report of your requirements leads to full 合规 and reduced 风险 for your organization.

了解更多

了解更多关于如何 CT公司 能帮你管理你的吗 营业执照需要,请联系CT服务代表或致电(844)701-2064.

约翰事务,商业顾问
商业顾问
John has been consulting with corporations and law firms on corporate legal transactions and business entity 合规 since joining CT公司 in 1994.

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