EB-5 Regional Center Compliance Reviews
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Regional center compliance reviews are another way to enhance EB-5 Immigrant Investor Program integrity and verify information in regional center applications and annual certifications. Under this program, USCIS will collect case-specific data as part of a compliance review.
A compliance review verifies the information that designated regional centers provide in applications and annual certifications. It also verifies compliance with applicable laws and authorities to ensure continued eligibility for the regional center designation. This process includes, for example, researching information in government systems, reviewing commercial and public records, and reviewing evidence that accompanies regional center applications and certifications. It also includes obtaining information, on a consensual basis, through compliance review data requests and site assessments.
Compliance Review Team Tasks
The review team will perform such tasks as:
- Reviewing applications, certifications, and associated records;
- Reviewing public records and information on the regional center;
- Verifying the information, including supporting documentation, submitted with the application(s) and in the annual certification(s);
- Conducting site assessments;
- Assessing the effectiveness of internal controls related to the regional center’s administration, oversight, and management functions;
- Reviewing and analyzing financial documentation;
- Interviewing personnel to confirm the validity of the information provided with the application(s) and annual certification(s).
Preparing for a Compliance Review
Before the site assessment, regional centers should be prepared to present any information originally submitted with the application(s) or certification(s), any updates to that information, and any information requested in the data request that has not previously been provided. The review team may also request additional support to verify information provided in the application(s) or certification(s).
During the site assessment, regional centers should immediately provide any readily available documentation and information that the review team requests to verify information provided in the application(s) or certification(s).
After the site assessment, regional centers should provide all additional information requested to verify or update information in any follow-up communication from USCIS.
After Completing the Review
The review team will document the results in a compliance report, which becomes part of the regional center’s record. Information obtained through the compliance review will be used to assess the regional center’s adherence to applicable laws and authorities. If the report contains any indicators of fraud, USCIS will assess whether further investigation is warranted.
Participating in a Compliance Review
Please note regional centers must continue to serve the purpose of promoting economic growth to remain eligible for designation. At any point, if the regional center principal expresses an unwillingness to participate in the site assessment, the visit will be cancelled. The review team will complete the compliance report using the data available and indicate that the site assessment was cancelled at the request of the regional center. As stated in the Form I-924 and Form I-924A instructions, to ensure compliance with applicable laws and authorities, USCIS may verify information submitted in accordance with those forms.