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18 Examples of Compliance

 , updated on May 20, 2023
Compliance is the practice of conforming to rules, regulations, specifications, standards and laws. 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 basic examples of compliance.
Regulatory Compliance
Adhering to laws, regulations and guidelines issued by government authorities.
Standards Compliance
Complying to standards such as industry, business or sustainability related certifications.
Code of Conduct
A set of ethical principles that you establish within your organization.
Compliance Culture
Norms and values in an organization that promote compliance and ethical conduct.
Risk Management
Identifying and treating risk.
Internal Controls
Implementing processes, procedures and other things such as checklists to implement compliance.
Compliance Monitoring
Systematically evaluating compliance on an ongoing basis.
Compliance Audits
Systematic and independent evaluations of compliance.
Compliance Training
Training and education that help your employees to recognize compliance issues and achieve compliance.
Open channels for employees to report concerns confidentially without fear of retaliation.
An independent body that can accept complaints about power structures such as government agencies.
Structures that ensure management accountability. Can replace the management of a firm.
A named person who is accountable for failures and compliance violations. This is the person with the authority to achieve compliance.
Openly communicating things is the friend of compliance as it highlights any issues immediately.
Compliance Communication
Compliance often requires communicating things to stakeholders. For example, an organization that must report a security breach to government agencies and impacted customers.
Compliance Integration
Compliance is a consideration for all strategy, decisions, projects and changes. It is integrated into business processes and processes of change.
Continuous Improvement
The process of learning from failure and improving compliance on an ongoing basis.
Compliance Reporting
Reporting compliance related metrics, benchmarks and issues to internal and external stakeholders.
More about compliance:
Administrative Burden
Audit Trail
Chinese Wall
Compliance Rate
Compliance Risk
Compliance Testing
Conflict Of Interest
Consumer Protection
Dual Agency
Cooling Off Period
Fiduciary Duty
Information Security
Fair Competition
Internal Controls
Fee Splitting
Internal Issues
Regulatory Risk
Independent Knowledge
Reputational Risk
Right To Know
Insider Information
Right To Repair
Insider Trading
Self Dealing
IT Governance
Know Your Customer
Legal Fiction
Material Information
Non Repudiation
Price Fixing
Price Gouging
Sale Above Advertised Price
Segregation Of Duties
Tone At The Top
More ...
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