Compliance Program

Filed Under » , ,
Dictionary Says

Definition of 'Compliance Program'

The internal programs and policy decisions made by a company in order to meet the standards set by government laws and regulations. A company will often have a compliance team that examines the rules set forth by government bodies like the Securities and Exchange Commission (SEC). The compliance team then creates a compliance program that assures the company is following the rules. The compliance officer is responsible for ensuring the program is effectively implemented throughout the company.
Investopedia Says

Investopedia explains 'Compliance Program'

Compliance programs have grown in importance as the regulations within many industries have increased. Overlapping regulatory agencies, financial reforms and many other factors have made compliance a full-time job for all publicly-traded companies.

Articles Of Interest

  1.

    Get A Job In Compliance

    If you're a stickler for rules, this could be a promising career path for you.

  2. On The Record: Communications With The Public

    NASD Rule 2211 can make or break your career as a registered principal.

  3. Understanding The Basel III International Regulations

    The Basel III regulations mark a drastic reform in international banking. But how do they impact the future's investment landscape?

  4. The Pitfalls Of Financial Regulation

    Regulatory actions usually have lofty intentions that end up with unintended and negative consequences.

  5. How The Sarbanes-Oxley Era Affected IPOs

    After the infamous collapse of companies like Tyco, Enron and WorldCom, the government responded to try and prevent it from happening again.

  6. Examining A Career As An Auditor

    Stricter government regulations have put auditing professionals in demand.

  7. Financial Regulators: Who They Are And What They Do

    Find out how these government agencies govern the financial markets.

  8. Pay Attention To The Proxy Statement

    Don't overlook this overview of a company's well-being.

  9. Top 4 Most Scandalous Insider Trading Debacles

    Here we look at some of the landmark incidents of insider trading.

  10. Handcuffs And Smoking Guns: The Criminal Elements Of Wall Street

    From godfathers to perps, familiarize yourself with the "criminal elements" creeping around Wall Street.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Racketeering

    Racketeering refers to criminal activity that is performed to benefit an organization such as a crime syndicate. Examples of racketeering activity include...

  2. Lawful Money

    Any form of currency issued by the United States Treasury and not the Federal Reserve System, including gold and silver coins, Treasury notes, and Treasury bonds. Lawful money stands in contrast to fiat money, to which the government assigns value although it has no intrinsic value of its own and is not backed by reserves.

  3. Fast Market Rule

    A rule in the United Kingdom that permits market makers to trade outside quoted ranges, when an exchange determines that market movements are so sharp that quotes cannot be kept current.

  4. Absorption Rate

    The rate at which available homes are sold in a specific real estate market during a given time period.

  5. Yellow Sheets

    A United States bulletin that provides updated bid and ask prices as well as other information on over-the-counter (OTC) corporate bonds...

  6. Bailment

    The contractual transfer of possession of assets or property for a specific objective.
Trading Center