Compliance Program

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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.
Search results for

'Compliance Program'

  • Is Your Broker Ripping You Off?

    http://www.investopedia.com/articles/pf/07/complaint_broker.asp
    ... resolution platform. FINRA's compliance program is designed to address disputes
    with brokerage firms and their employees. Federal law ...

  • CFA Level 1 Study Guide - Ethics and Standards - Standard II-A ...

    http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-nonpublic-information.asp
    ... 1.31 GIPS: Fundamentals Of Compliance And Conclusion. 2. Quantitative Methods:
    2.1 Introduction; 2.2 What Is The Time Value Of Money? ...

  • CFA Level 1 Study Guide - Ethics and Standards - Standard IV-C ...

    http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-responsibilities-supervisors.asp
    ... 1.31 GIPS: Fundamentals Of Compliance And Conclusion. 2. Quantitative Methods:
    2.1 Introduction; 2.2 What Is The Time Value Of Money? ...

  • 10 Risks That Every Stock Faces

    http://www.investopedia.com/articles/stocks/11/risks-every-stock-faces.asp
    ... Detection Risk Detection risk is the risk that the auditor, compliance program,
    regulator or other authority will fail to find the bodies buried in the ...

  • CFA Level 1 Study Guide - Ethics and Standards - Standard III-B ...

    http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-fair-dealing.asp
    ... 1.31 GIPS: Fundamentals Of Compliance And Conclusion. 2. Quantitative Methods:
    2.1 Introduction; 2.2 What Is The Time Value Of Money? ...

  • Series 26 Study Guide - Recordkeeping Rules - Anti Money ...

    http://www.investopedia.com/exam-guide/series-26/recordkeeping-rules/anti-money-laundering.asp
    ... as FINRA) Rule 3011 requires all member firms to create a written anti-money laundering
    program designed to reasonably achieve and monitor compliance with the ...

  • CFA Level 1 Study Guide - Ethics and Standards - Standard IV ...

    http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-loyalty.asp
    ... 1.31 GIPS: Fundamentals Of Compliance And Conclusion. 2. Quantitative Methods:
    2.1 Introduction; 2.2 What Is The Time Value Of Money? ...

  • CFA Level 1 Study Guide - Ethics and Standards - Standard II-B ...

    http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-market-manipulation.asp
    ... 1.31 GIPS: Fundamentals Of Compliance And Conclusion. 2. Quantitative Methods:
    2.1 Introduction; 2.2 What Is The Time Value Of Money? ...

  • CIPM: The Key To A Niche Career In Finance

    http://www.investopedia.com/articles/professionaleducation/09/certificate-investment-performance-measurement-cipm.asp
    ... monitoring an investment firm's compliance with applicable laws, regulations and
    standards. ... The CIPM program equips you for a position as a performance analyst ...

  • Lead The Charge With Product Development

    http://www.investopedia.com/articles/financialcareers/07/product-managment.asp
    ... Investment Analyst Association upon those who complete the program and have ... development
    staffers must work carefully with legal and compliance departments to ...

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