compliance
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.
Related Terms
Related Terms on BusinessDictionary
social accountability
enforcing agency
taxation principles
environmental audit
acceptance theory of authority
technical inspection
environmental monitoring
accounting control system
full assessment
arbitrage certificate
Underwriters Laboratories (UL)
International Maritime Organization (IMO)
audit evidence
ISO 9000 Series
qualified auditor
ISO 14000 Series
bank examination
loan committee
moral suasion
certificate of conformance
satisfaction of mortgage
compliance audit
confession of judgment
operational performance
conformance
proviso
reasonable care in examining documents
construction inspector
enforcing agency
taxation principles
environmental audit
acceptance theory of authority
technical inspection
environmental monitoring
accounting control system
full assessment
arbitrage certificate
Underwriters Laboratories (UL)
International Maritime Organization (IMO)
audit evidence
ISO 9000 Series
qualified auditor
ISO 14000 Series
bank examination
loan committee
moral suasion
certificate of conformance
satisfaction of mortgage
compliance audit
confession of judgment
operational performance
conformance
proviso
reasonable care in examining documents
construction inspector
Popular 'Brokerages' Terms
Related Personal Finance Articles
Loading...
compliance in the news
Loading...
compliance is ...
... part of the Brokerages and Trading subjects.
Nearby Terms
Search volume for compliance
Get our content on your iGoogle page
RSS