Regulatory compliance checklists

• Use Checklist A: Product and service requirements for each product and service destination market combination.
• Use Checklist B: Documentation, approvals and licences for typical transaction and shipment flows.
• Use Checklist C: Ongoing monitoring and review to keep requirements current over time.
• Use these alongside the Compliance Checklist. Use them when you are ready to formalize a simple internal compliance system.​

Use this simple table to keep key types of regulatory risk in mind as you complete the checklists for each product, service and market.

Objective: Capture key product and service level requirements for a specific market in one place.

Create a table for each product and/or service and market combination, with columns such as:

• Product or service name and internal code
• Product origin (where it is manufactured)
• Destination market (country or region)
• Classification used (for example, Harmonized System (HS) code for goods; service category if relevant)
• North American Industry Classification System (NAICS) codes for the North American market
• Applicable standards and technical requirements (for example, safety, performance, industry‑specific rules)
• Labelling and packaging requirements (for example, language, units, warnings, origin marking, recycling symbols)
• Certifications or registrations required (for example, sector approvals, conformity marks)
• Harmonized System (HS) code at destination (unique for each country)
• Local service delivery constraints (for example, licensing, professional qualifications, data location rules)
• Manager responsible for the execution of each task
• Status (Completed / In progress / Not applicable) and notes

Use this checklist to:

• confirm product or service adaptations and documentation are anchored on identifiable requirements, not assumptions
• quickly verify whether a requirement may have been missed or changed when issues arise

Objective: Track key documents, approvals, and licences required for routine export transactions and shipments for a market.

Create a checklist per market (or per market and product family), with sections such as:

• Export and customs documentation (origin side)
  • Commercial invoice requirements (content and format).
  • Packing list requirements including any required fields.
  • Certificates (for example, certificate of origin, health certificate, conformity documentation), where applicable.
  • Export declarations and any thresholds or conditions that trigger reporting.
  • Export permit (if required).
• Import‑side and destination requirements
  • Customer and counterparty screening: basic checks on customers, intermediaries and end users (for example, sanctions and restricted party screening, adverse media checks, and verification of legal name, address and registration details).
  • Import permits or licences for certain goods or technologies.
  • Restricted or prohibited goods.
  • Local registrations or approvals linked to your customer or end use (where applicable).
  • Documents for preferential tariffs or trade agreements (where applicable).
  • Regulatory compliance that may affect entry (for example, labelling, safety standards).
• Contract and terms considerations
  • Terms that must reflect regulatory realities (for example, Incoterms, data handling, Intellectual Property (IP), market compliance, sanctions). Track these as “items to confirm”, rather than specific legal wording.
  • Who is responsible for formalities (you, customer or an intermediary) and how this is communicated to all parties.
• Status and evidence
  • Which items are in place, under application, or not applicable.
  • Where supporting evidence is stored (for example, shared drive folder, system reference, system link).
  • Confirmation that customer and counterparty screening records (for example, screening results, screenshots, reports and any follow‑up notes) are stored in a consistent location.

This checklist supports planning, day‑to‑day execution and investigating delays, seizures or disputes linked to documentation gaps.​

Objective: Support regular compliance reviews as markets and rules evolve.

For each key market, create a brief review log that includes:

• Review frequency and owner
  • How key requirements will be reviewed (for example, annually, or after major regulatory changes).
  • Who is responsible for triggering reviews and coordinating updates.
• Triggers for ad‑hoc review
  • Significant regulatory or trade policy changes affecting your sector or products.
  • Persistent operational issues (for example, repeated customs queries, documentation rejections).
  • Changes in your own operations (for example, new product version, new channel, new partner type).
• Review actions
  • What was checked (for example, official government websites, our trade commissioner information, sector associations).
  • Summary of changes identified and the operational implications.
  • Follow‑up actions (for example, adapt labels, revise internal instructions, adjust contracts, brief partners).
  • Assign a named person or team to monitor key trade and customs developments affecting your sector. These may include tariff changes, new trade remedy measures and sanctions updates. They should publish brief internal notes on potential impacts.
  • When significant changes are announced, review which HS codes, products, customers or routes in your business could be affected. Share a short summary with decision‑makers so they can adjust pricing, sourcing or contract terms if needed.

This review log helps demonstrate that compliance is an ongoing process rather than a one‑time exercise, and reduces the risk of drifting away from current requirements over time.​

If different managers are responsible for various items in the checklists above, consider placing these items in a high priority shared document or spreadsheet with clearly assigned responsibilities. This can help ensure tasks are tracked and nothing is being overlooked.