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30+ Compliance Terms

 , December 13, 2015 updated on November 05, 2016
Compliance is the practice of conforming to rules, regulations, specifications, standards and laws. It is a critical aspect of corporate governance that manages compliance, regulatory, financial and reputational risks. In many cases, ensuring compliance to laws and regulations entails organizational change, technology implementations, oversight and audits. As such, compliance can be a major cost and organizational challenge in heavily regulated industries such as banking. The following are a few key concepts related to compliance.
Administrative Burden
Algorithmic Accountability
Asoh Defense
Audit Trail
Chinese Wall
Compliance Rate
Compliance Risk
Compliance Testing
Conflict Of Interest
Consumer Protection
Cooling Off Period
Cronyism
Fair Competition
Fee Splitting
Fiduciary Duty
Independent Knowledge
Information Security
Insider Information
Insider Trading
Internal Controls
IT Governance
Know Your Customer
Legal Fiction
Material Information
Net Neutrality
Non Repudiation
Price Fixing
Price Gouging
Puffery
Regulatory Risk
Reputational Risk
Right To Know
Right To Repair
Sale Above Advertised Price
Segregation Of Duties
Self Dealing
Tone At The Top
Transparency
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A few examples of conflict of interest.

Consumer Protection

The definition of consumer protection with examples.

Fiduciary Duty

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Compliance Risk

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