compliance

Definition
The state of being in accordance with the relevant Federal or regional authorities and their requirements. In the context of financial services, the most important compliance rules come from the Securities and Exchange Commission. Most large financial services companies have compliance teams whose role is to take an independent stance in making sure that the company is following all the necessary rules and regulations.




compliance is ...
... part of the
Brokerages and Trading subjects.


Related Terms

compliance department -  More
back office -  More
Bank Examiner -  More
Sarbanes-Oxley Act, examiner, pay to play, audit committee, Community Reinvestment Act of 1977, Bank Secrecy Act (BSA), lead regulator


compliance appears in the definitions of these other terms on BusinessDictionary.com

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