Which of the following could be included in a Compliance or Adjusted Compliance Letter?

A Compliance or Adjusted Compliance Letter is an official communication that typically indicates a regulated entity's status concerning compliance with established laws or regulations. The inclusion of confirmed compliance with regulations showcases that the entity has met the necessary standards and requirements, affirming their adherence to regulatory expectations. This confirmation serves as a critical component of the letter, as it provides clear evidence that the entity is operating within legal boundaries and fulfilling its obligations.

The other options involve actions or aspects that do not fit the purpose of a Compliance or Adjusted Compliance Letter. For example, referrals for criminal investigation and immediate penalties imposed deal with enforcement actions rather than compliance acknowledgment. Details on upcoming inspections are forward-looking and pertain to future evaluations rather than current compliance status. Thus, confirmed compliance aligns perfectly with the intent of such a letter, which is to affirm an entity’s adherence to regulatory requirements.