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.

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.


Investment dictionary. . 2012.

Look at other dictionaries:

  • compliance committee — ➔ committee * * * compliance committee UK US noun [C] LAW ► a group of people within a company or organization whose job is to make certain that all laws and rules relating to its activities are obeyed: »Your compliance committee should be… …   Financial and business terms

  • Compliance and ethics program — There has been a long history of business and government excesses and subsequent legal, public and political reaction. Response to criminal misconduct has resulted in legal sanctions, governance practices, compliance standards and cultural… …   Wikipedia

  • Compliance requirements — are a series of directives established by United States Federal government agencies that summarize hundreds of Federal laws and regulations applicable to Federal assistance (also known as Federal aid or Federal funds). They are currently… …   Wikipedia

  • Compliance Checking Program —   [Abk. CCP, dt. »Einhaltungsprüfprogramm«], ein Programm von Microsoft, das bei allen neuen (Microsoft) Updates überprüft, ob Vorversionen vorhanden sind. Es dient zum Schutz vor Raubkopien. Inzwischen sind die meisten Microsoft Programme durch… …   Universal-Lexikon

  • Smuggling Interdiction and Trade Compliance — The Smuggling Interdiction and Trade Compliance Program is a component of the United States Department of Agriculture (USDA), Animal and Plant Health Inspection Service (APHIS), Plant Protection and Quarantine (PPQ). The mission of the Smuggling… …   Wikipedia

  • Customer Identification Program — According to provisions of the USA Patriot Act, all financial institutions must verify the identity of individuals wishing to conduct financial transactions. The law was implemented by regulations in 2003 which require financial institutions to… …   Wikipedia

  • Regulatory compliance — Compliance (regulation) redirects here. For other uses, see Compliance (disambiguation). In general, compliance means conforming to a rule, such as a specification, policy, standard or law. Regulatory compliance describes the goal that… …   Wikipedia

  • Nuclear program of Iran — See also: Iran and weapons of mass destruction Nuclear program of Iran …   Wikipedia

  • OMB A-133 Compliance Supplement — The OMB A 133 Compliance Supplement is a large and extensive United States federal government guide created by the Office of Management and Budget (OMB) and used in auditing federal assistance and federal grant programs, as well as their… …   Wikipedia

  • Governance, Risk Management, and Compliance — Governance, Risk, and Compliance or GRC is an increasingly recognized term that reflects a new way in which organizations can adopt an integrated approach to these three areas. However, this term is often positioned as a single business activity …   Wikipedia

Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”

We are using cookies for the best presentation of our site. Continuing to use this site, you agree with this.