Define: Regulatory Investigation

How is Regulatory Investigation defined in a legal contract?

• Regulatory Investigation means a formal hearing, official investigation, examination, inquiry, legal action or any other similar proceeding initiated by a governmental, regulatory, law enforcement, professional or statutory body against you.
  Seen in 18 SEC filings
• Regulatory Investigation means any formal or official action, Investigation, inquiry or audit by a Regulator against an Insured arising out of the use or alleged misuse of Personal Information or any aspects of the control or processing of Personal Information or delegation of data processing to an Outsourcer which is regulated by Data Protection Legislation, but shall not include any industry-wide, non-firm specific, inquiry or action.
  Seen in 7 SEC filings
• Regulatory Investigation means the activities of the Department or delegate agency to determine compliance with the Act and this Part, including, but not limited to, records review of licensed lead risk assessor or lead inspector reports, visual inspection and records review of a lead abatement contractor’s work practices at a lead abatement or lead mitigation project, and assessment of penalties for non-compliance when warranted.
  Seen in 5 SEC filings
• Regulatory Investigation means a formal request for information, civil investigative demand or civil proceeding, including requests for information related thereto, brought by or on behalf of a state Attorney General, the Federal Trade Commission, the Federal Communications Commission or any other federal, state, local or foreign governmental agency.
  Seen in 2 SEC filings
• Regulatory Investigation means an actual or threatened investigation in writing by a regulator or governmental authority into an actual or alleged Privacy and Security Breach Wrongful Act caused by You or Your Sub-Contractor that may result in the imposition of a Regulatory Fine on You.
  Seen in 2 SEC filings
• Regulatory Investigation means any official investigation by a regulator arising directly and solely from a data breach covered under this Policy. Regulatory investigation does not include reviews under S166 of the Financial Services and Markets Act 2000.
  Seen in 1 SEC filing

Note: The Genie AI Legal Assistant pulled this data out of the SEC EDGAR Database of 500,000 records from the past 22 years of filings. We regularly update this page as new filings and definitions come in.

Search EDGAR for ‘Definitions of regulatory investigation’ yourself to verify these results. We are always keen to point people to source documents.

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Which definition should you use?

🤔 Our AI Legal Assistant has combined and improved the above descriptions to create market-standard 'Genie definitions' below, with guidance on which documents and which industry to use for each.

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Genie Definition 1

• Regulatory Investigation means an official action, inquiry, or audit, initiated by a regulator or statutory body, pertaining to compliance or violation issues.

Relevant Contract Types

• Privacy Policy
• Employment Contract
• Service Agreement
• Website Terms and Conditions

Relevant Circumstances

• When a complaint regarding a violation is filed
• During routine checks by regulatory bodies
• In case of a data breach or security incidents

Relevant Sectors

• Finance
• Healthcare
• Information Technology
• E-commerce

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Genie Definition 2

• Regulatory Investigation means an examination or an evaluation of an organization's processes, initiated by a regulatory body, due to the alleged misuse of personal or proprietary data.

Relevant Contract Types

• Non-Disclosure Agreement
• Data Processing Agreement
• Outsourcing Agreement

Relevant Circumstances

• Following a reported data breach
• When there's suspicion of data misuse
• During regular audits by data protection authorities

Relevant Sectors

• Banking
• Technology
• Consulting
• Marketing

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