CTR 7.01 – ComplyTexas Verification File Request (CTVFR); Purpose & Scope
CTR 7.01(a) – Purpose · CTR 7.01(b) – Scope
Under ComplyTexas Regulation 7.01 (“ComplyTexas Verification File Request” or “CTVFR”), ComplyTexas establishes
a formally structured access framework that enables regulators and consumers to securely request,
access, and review Verification Files associated with:
- ComplyTexas Verified Seals; and
- Public advisories issued under the ComplyTexas Standards.
(1) This Regulation governs the content, governance, and access parameters for Verification Files maintained
by ComplyTexas in connection with any public representation of a ComplyTexas Verified Seal or advisory.
(2) This Regulation does not govern, and shall not be interpreted as disclosing, ComplyTexas proprietary
methodologies, scoring logic, or internal evaluative tools.
CTR 7.02 – Applicability & Eligible Requestors
CTR 7.02(a) – Applicability · CTR 7.02(b) – Eligible Requestors
(1) The CTVFR framework applies to all Verification Files created, maintained, or relied upon by ComplyTexas in
support of:
- (A) issuance of a ComplyTexas Verified Seal;
- (B) continuation or modification of a ComplyTexas Verified Seal; or
- (C) public advisories, notices, or cautionary statements issued under the ComplyTexas Standards.
(2) Where a ComplyTexas Verified Seal or advisory has been publicly displayed or communicated, ComplyTexas will
maintain a corresponding Verification File in accordance with this Title, to the extent reasonably practicable.
CTR 7.02(b) – Eligible Requestors
Access to Verification Files under the CTVFR framework is limited to:
- Regulatory agencies and officials acting within their lawful authority;
- Other oversight bodies or authorities with a legally recognized mandate; and
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Individual consumers or members of the public seeking information about a ComplyTexas Verified Seal
or advisory in connection with matters of public concern, potential or actual consumer harm, or other
license‑linked risk.
Separate from the CTVFR framework, ComplyTexas may respond to inquiries from news media organizations
where public welfare or matters of broad public concern are implicated. Media inquiries should be directed
to press@complytexas.com.
CTR 7.03 – Required Content of Verification Files
Each Verification File is a controlled evidentiary repository.
Under ComplyTexas Regulation 7.03, each Verification File maintained under the CTVFR framework shall constitute
a controlled evidentiary repository and, to the extent applicable, include the following components.
CTR 7.03(a) – Identification & Contextual Scope
Each Verification File must, at minimum, document:
- The subject entity’s legally registered name and current known license status.
- Relevant regulatory license number(s), issuing agencies, and applicable validity periods.
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Direct references linking the ComplyTexas Verified Seal or advisory to:
(A) specific compliance activities reviewed; and
(B) the monitoring or evaluation period covered by the Verification File.
CTR 7.03(b) – Regulatory Standards Framework
Each Verification File should clearly identify the regulatory framework applied, including:
- Applicable statutes, administrative regulations, and official regulatory rules cited in the review.
- Published regulatory guidance, policies, or authoritative precedents relied upon.
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Clearly defined compliance benchmarks, thresholds, or standards used to evaluate the subject entity.
CTR 7.03(c) – Evidentiary Compilation
Each Verification File must preserve an auditable evidentiary record that may include:
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Public agency records, including:
(A) official license statuses;
(B) formal regulatory orders; and
(C) published disciplinary or enforcement records.
- Officially filed documents, notices, or communications from relevant regulatory bodies.
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Confirmations and representations that are formally documented and attributable to regulatory or other
authoritative sources.
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Dated and preserved documentation sufficient to support:
(A) verification of source authenticity; and
(B) reconstruction of the evidentiary basis as of the time of review.
CTR 7.03(d) – Compliance Assessment Documentation
Each Verification File must include structured assessment documentation that:
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Describes, in regulator‑style analytical form, how applicable laws, rules, and standards were applied to
the available information at the time of review.
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Records how variances, discrepancies, or conflicting information were identified, evaluated, and resolved
or escalated.
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Documents risk and materiality considerations, where applicable, in a manner suitable for oversight or
supervisory review.
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Reflects internal validation, review, and quality‑control approvals, including dates, reviewer identity or
role, and final sign‑off status.
CTR 7.03(e) – Conclusive Status & Verification Integrity
Each Verification File must summarize:
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The conclusion supporting issuance, modification, suspension, or withdrawal of the relevant ComplyTexas
Verified Seal or public advisory.
- The most recent validation, re‑verification, or status‑check date and recorded outcome.
-
The defined scope and limitations of the verification, including:
(A) conditions;
(B) assumptions;
(C) exclusions; and
(D) any ongoing monitoring or follow‑up expectations attached to the Verified Seal or advisory.
CTR 7.03(f) – Controlled Information Governance
Each Verification File must document information‑governance controls applied, including:
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Redactions and protections implemented to safeguard:
(A) sensitive personal information;
(B) proprietary or confidential third‑party content; and
(C) other data subject to legal, contractual, or regulatory restrictions.
- The legal or contractual basis relied upon for any redaction, exclusion, or limitation of access.
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Any usage, retention, or destruction controls applicable to the Verification File or underlying source
materials, to the extent known.
CTR 7.04 – Access Parameters Under CTVFR
CTR 7.04(a) – Access Scope · CTR 7.04(b) – Request and Response Mechanics
CTR 7.04(a) – Access Scope
(1) Access granted under the ComplyTexas Verification File Request framework is strictly limited to the
Verification Files and associated evidence described in CTR 7.03.
(2) Access does not extend to:
- (A) ComplyTexas proprietary methodologies;
- (B) scoring or rating logic;
- (C) internal algorithms, tools, or systems; or
- (D) internal strategic or commercial information not expressly included in the Verification File.
These items remain ComplyTexas confidential intellectual property and are not disclosed to any requesting party.
CTR 7.04(b) – Request and Response Mechanics
ComplyTexas may adopt written procedures further specifying:
- Who may submit a CTVFR request and in what form.
- Required identifying information for the subject entity, seal, or advisory.
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Expected response timelines, permissible formats (e.g., redacted PDF, secure portal access), and any
conditions or restrictions on downstream use.
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Circumstances under which ComplyTexas may decline, limit, delay, or condition access in order to comply with
law, protect confidentiality, or maintain system integrity.
CTR 7.05 – Record Retention & Auditability
How Verification Files are retained.
Under ComplyTexas Regulation 7.05:
-
Verification Files must be maintained in a manner that supports:
(A) auditability;
(B) reliability of evidence over time; and
(C) traceability of conclusions to underlying documentation.
-
ComplyTexas will maintain Verification Files for at least the retention periods specified in applicable
ComplyTexas Record Retention Standards, or longer where reasonably necessary to support regulatory
interaction, oversight, or legal obligations.
CTR 7.06 – Limitations & Non‑Affiliation
CTR 7.06(a) – Interpretive Nature · CTR 7.06(b) – Non‑Governmental Status
CTR 7.06(a) – Interpretive Nature
The ComplyTexas Verification File Request framework and all Verification Files produced under it represent
ComplyTexas’s internal interpretation, structuring, and standardization of publicly available and lawfully
obtained information as of the time of review.
CTR 7.06(b) – Non‑Governmental Status
Nothing in this Regulation shall be construed to:
-
Represent ComplyTexas as a governmental body, state agency, or official publisher of Texas law or regulation;
or
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Confer any governmental authority, enforcement power, or official legal status on ComplyTexas or its
publications.
