17a-4: Definition: A regulation by the U.S. Securities and Exchange Commission (SEC) that specifies record-keeping requirements for broker-dealers.
ABAC: Acronym: Anti-Bribery and Anti-Corruption. Definition: A comprehensive approach that includes policies and procedures to prevent bribery and corruption within an organization.
ADEA: Acronym: Age Discrimination in Employment Act. Definition: U.S. law prohibiting age discrimination against employees who are 40 years or older.
AFA: Acronym: Anti-Fraud Awareness. Definition: Programs and initiatives aimed at educating employees about recognizing and preventing fraud.
AML/CFT: Acronym: Anti-Money Laundering/Countering the Financing of Terrorism. Definition: Measures and regulations designed to prevent money laundering and terrorist financing.
Anti-Bribery and Corruption (ABC): Definition: A set of laws, regulations, and practices aimed at preventing bribery and corruption in business transactions.
Anti-Kickback Statute: Definition: A U.S. law that prohibits offering, paying, soliciting, or receiving kickbacks for referrals in federal healthcare programs.
Anti-Money Laundering (AML): Definition: Measures and regulations designed to prevent money laundering and terrorist financing.
Anti-Trust Laws: Definition: Laws aimed at promoting fair competition and preventing monopolistic behavior and anticompetitive practices.
Asset Forfeiture: Definition: The confiscation of assets acquired through illegal activities as a penalty for wrongdoing.
Audit Committee: Definition: A committee of a company’s board of directors responsible for oversight of financial reporting and internal controls.
Audit Trail: Definition: A chronological record of system activities and transactions used to monitor and review actions for compliance and security purposes.
Bank Secrecy Act (BSA): Definition: U.S. legislation requiring financial institutions to assist in detecting and preventing money laundering.
Basel III: Definition: A global regulatory framework for banking institutions that establishes minimum capital and liquidity requirements.
Beneficial Ownership: Definition: Identifying and reporting the individuals who ultimately own or control a legal entity.
Best Practices: Definition: Industry-accepted standards and practices that represent the most effective way of achieving compliance and ethical conduct.
Blockchain Technology: Definition: A distributed ledger technology that can be used for secure and transparent record-keeping, including compliance records.
Board of Directors: Definition: A group of individuals elected by shareholders to oversee the management and strategic direction of a corporation.
Board Oversight: Definition: The responsibility of a company’s board of directors in overseeing compliance efforts and ensuring ethical behavior.
Bribery Act 2010: Definition: UK legislation that criminalizes bribery and imposes strict anti-bribery measures on businesses.
Business Continuity Plan (BCP): Definition: A plan that outlines procedures and resources to maintain critical business operations during disruptions, including compliance with regulations.
Business Ethics: Definition: Principles and values that guide ethical decision-making and behavior in the business environment.
CAMELS Rating: Definition: A rating system used by bank regulators to assess the safety and soundness of financial institutions.
Certification of Compliance: Definition: A formal declaration that an organization is in compliance with specific laws, regulations, or industry standards.
CFT: Acronym: Countering the Financing of Terrorism. Definition: Efforts to prevent the funding of terrorist activities through financial transactions.
CFTC: Acronym: Commodity Futures Trading Commission. Definition: A U.S. regulatory agency overseeing commodity and futures markets.
Chief Compliance Officer (CCO): Definition: The senior executive responsible for overseeing an organization’s compliance program.
Code of Conduct: Definition: A set of guidelines and principles that outline acceptable behavior and ethical standards for employees within an organization.
Code of Ethics: Definition: A document that outlines an organization’s core values, principles, and ethical standards.
COI: Acronym: Conflict of Interest. Definition: A situation where an individual’s personal interests may interfere with their ability to make impartial decisions in their professional role.
Compliance Framework: Definition: A structured approach and set of processes used to ensure an organization’s compliance with laws and regulations.
Compliance Officer: Definition: An individual responsible for ensuring that an organization adheres to relevant laws, regulations, and internal policies.
Conflict Minerals: Definition: Minerals (e.g., gold, tin, tungsten, and tantalum) sourced from conflict zones, subject to disclosure and due diligence requirements.
Conflict of Interest Policy: Definition: A formal policy that outlines procedures for identifying and addressing conflicts of interest within an organization.
Conflict of Interest: Definition: A situation in which an individual’s personal interests or relationships may interfere with their ability to make impartial decisions in their professional role.
Consumer Financial Protection Bureau (CFPB): Definition: A U.S. government agency responsible for consumer protection in the financial sector.
Corporate Culture: Definition: The shared values, norms, and behaviors that shape an organization’s character and influence compliance practices.
Corporate Governance: Definition: The system of rules, practices, and processes by which a company is directed and controlled to enhance accountability and transparency.
Corporate Social Responsibility (CSR): Definition: An organization’s commitment to ethical and socially responsible business practices.
Crisis Communication Plan: Definition: A strategy and set of procedures for communicating with stakeholders during a crisis or compliance incident.
Crisis Management: Definition: The process of planning for, responding to, and recovering from critical events that may impact an organization’s compliance and reputation.
Customer Due Diligence (CDD): Definition: The process of verifying and understanding the identity of customers, often required for anti-money laundering compliance.
Dark Web: Definition: A hidden part of the internet used for illegal activities, including the sale of stolen data and hacking tools, posing compliance risks.
Data Breach Response: Definition: The coordinated actions taken by an organization to address and mitigate the impact of a data breach.
Data Breach: Definition: The unauthorized access, disclosure, or acquisition of sensitive data, often resulting in a security incident.
Data Classification: Definition: Categorizing data based on its sensitivity and importance to determine appropriate security and handling measures.
Data Encryption: Definition: The process of converting data into a code to prevent unauthorized access, essential for data security compliance.
Data Governance: Definition: The framework and practices for managing data assets, ensuring data quality, and compliance with data regulations.
Data Privacy: Definition: The protection of sensitive information and personal data in accordance with data protection laws and regulations.
Data Protection Officer (DPO): Definition: An individual appointed to oversee data protection and compliance with data privacy regulations.
Debarment: Definition: The exclusion of individuals or entities from participating in government contracts due to compliance violations.
Deferred Prosecution Agreement (DPA): Definition: An agreement between a prosecutor and an organization to suspend criminal charges in exchange for certain actions, such as compliance improvements.
Digital Rights Management (DRM): Definition: Technologies and strategies to protect digital content from unauthorized copying and distribution.
Directors and Officers (D&O) Insurance: Definition: Insurance coverage that protects directors and officers from personal liability related to their management decisions.
Disaster Recovery Plan (DRP): Definition: A plan that outlines procedures and resources for recovering IT systems and data in the event of a disaster.
Diversity and Inclusion: Definition: Efforts to promote a diverse workforce and inclusive workplace, often associated with compliance with equal employment opportunity laws.
Document Management System: Definition: Software and tools for organizing, storing, and managing documents and records, important for compliance records.
Document Retention Policy: Definition: Guidelines for the retention and disposal of organizational documents, taking into account legal and regulatory requirements.
Dodd-Frank Wall Street Reform and Consumer Protection Act: Definition: U.S. legislation aimed at reforming financial regulations to prevent another financial crisis.
Due Diligence: Definition: A comprehensive review and investigation process to assess the risks associated with a business transaction or relationship.
E-Discovery: Definition: The process of electronically identifying, collecting, and preserving information for legal proceedings, including compliance with e-discovery rules.
EEOC: Acronym: Equal Employment Opportunity Commission. Definition: A U.S. agency responsible for enforcing laws against workplace discrimination.
Electronic Health Records (EHR): Definition: Digital patient health records that must be managed in compliance with healthcare data privacy regulations.
Employee Handbook: Definition: A document that outlines an organization’s policies, procedures, and expectations for employees.
Employee Monitoring: Definition: The practice of tracking employee activities to ensure compliance with company policies and legal requirements.
Employee Training and Development: Definition: Programs designed to educate and develop employees’ skills and knowledge, including compliance training.
Environmental Compliance: Definition: Adherence to environmental laws and regulations to minimize an organization’s impact on the environment.
Environmental Impact Assessment (EIA): Definition: A study that assesses the environmental consequences of a project, often required for compliance with environmental regulations.
Environmental Management System (EMS): Definition: A framework for managing an organization’s environmental responsibilities and compliance with environmental laws.
Equal Employment Opportunity (EEO): Definition: The principle of providing equal employment opportunities without discrimination, subject to compliance laws.
ESG: Acronym: Environmental, Social, and Governance. Definition: A framework that evaluates a company’s performance in terms of sustainability, social responsibility, and corporate governance.
Ethics Hotline: Definition: A confidential reporting mechanism for employees to report ethical concerns or compliance violations within an organization.
Ethics Training: Definition: Educational programs and initiatives that promote ethical behavior and decision-making within an organization.
Export Control: Definition: Compliance with laws and regulations governing the export of goods, services, and technology.
Fair Credit Reporting Act (FCRA): Definition: U.S. law regulating the collection and use of consumer credit information.
Fair Labor Standards Act (FLSA): Definition: U.S. labor law establishing standards for minimum wage, overtime pay, and child labor.
Fair Lending: Definition: Compliance with laws that prohibit discriminatory lending practices based on factors such as race, gender, or age.
Fair Packaging and Labeling Act (FPLA): Definition: U.S. law requiring honest and informative labeling of consumer products.
Fair Trade: Definition: A movement that promotes ethical trading practices and fair compensation for producers in developing countries.
False Claims Act (FCA): Definition: U.S. federal law imposing liability for submitting false claims to the government, often related to healthcare fraud.
FATCA: Acronym: Foreign Account Tax Compliance Act. Definition: U.S. legislation aimed at preventing tax evasion by U.S. persons with foreign accounts.
FCPA: Acronym: Foreign Corrupt Practices Act. Definition: A U.S. law that prohibits bribery and corrupt practices by U.S. companies and individuals abroad.
FDA Compliance: Definition: Adherence to regulations set by the U.S. Food and Drug Administration, particularly in the pharmaceutical and food industries.
Financial Crimes Enforcement Network (FinCEN): Definition: A bureau of the U.S. Department of the Treasury focused on combating financial crimes, including money laundering and terrorist financing.
Financial Industry Regulatory Authority (FINRA): Definition: A self-regulatory organization that oversees securities firms and brokers in the United States.
Financial Statement Audit: Definition: An independent examination of an organization’s financial statements for accuracy and compliance with accounting standards.
FINRA: Acronym: Financial Industry Regulatory Authority. Definition: A self-regulatory organization that oversees securities firms and brokers in the United States.
Foreign Account Tax Compliance Act (FATCA): Definition: U.S. legislation aimed at preventing tax evasion by U.S. persons with foreign accounts.
Foreign Corrupt Practices Act (FCPA): Definition: U.S. law prohibiting bribery and corrupt practices by U.S. companies and individuals abroad.
Foreign Exchange Compliance: Definition: Compliance with laws and regulations governing foreign exchange transactions and currency trading.
Form 10-K: Definition: An annual report filed with the SEC by publicly traded companies, containing financial information and business operations details.
Form 10-Q: Definition: A quarterly report filed with the SEC by publicly traded companies, providing financial updates and disclosures.
Form 8-K: Definition: A report filed with the SEC to announce significant events, such as mergers, acquisitions, and changes in corporate governance.
Fraud Prevention: Definition: Strategies and measures to detect, deter, and prevent fraudulent activities within an organization.
Fraud Triangle: Definition: A model that describes the factors contributing to fraud: opportunity, motivation, and rationalization.
Free and Prior Informed Consent (FPIC): Definition: A principle in corporate social responsibility that requires obtaining consent from indigenous communities before undertaking projects on their land.
Fringe Benefits: Definition: Non-wage compensation provided to employees, often subject to tax and regulatory compliance.
Full Disclosure Principle: Definition: An accounting principle that requires organizations to provide complete and accurate information in financial reporting.
Garnishment: Definition: A legal process for collecting debt by deducting money from an employee’s wages, subject to compliance regulations.
GDPR: Acronym: General Data Protection Regulation. Definition: European Union regulation governing data protection and privacy rights for individuals.
General Data Protection Regulation (GDPR): Definition: European Union regulation governing data protection and privacy rights for individuals.
Gift Policy: Definition: A policy that sets guidelines for giving and receiving gifts, often to prevent conflicts of interest and bribery.
Gifts and Hospitality Policy: Definition: A policy that sets guidelines for giving and receiving gifts, entertainment, and hospitality to prevent potential conflicts of interest.
Gifts and Hospitality: Definition: The giving or receiving of gifts, entertainment, or hospitality in a business context, often subject to compliance guidelines.
GLBA: Acronym: Gramm-Leach-Bliley Act. Definition: A U.S. law that requires financial institutions to protect consumers’ personal financial information.
Global Compliance: Definition: The practice of ensuring an organization’s adherence to laws, regulations, and standards across multiple countries.
Good Clinical Practice (GCP): Definition: International standards for conducting clinical trials and research, crucial in the pharmaceutical and healthcare industries.
Good Manufacturing Practices (GMP): Definition: A set of quality control guidelines and regulations for the pharmaceutical and manufacturing industries.
Governance, Risk Management, and Compliance (GRC): Definition: A holistic approach to managing an organization’s governance, risk, and compliance functions.
Greenwashing: Definition: Misleading marketing practices that falsely suggest a product or company is environmentally friendly or sustainable.
Health and Safety Compliance: Definition: Adherence to laws and regulations aimed at ensuring the health and safety of employees and the public.
HIPAA: Acronym: Health Insurance Portability and Accountability Act. Definition: U.S. law that governs the security and privacy of healthcare information.
Human Resources Compliance: Definition: Compliance with laws and regulations governing employment, labor relations, and workforce management.
Incident Response Plan (IRP): Definition: A structured approach and documented plan for responding to and mitigating data breaches and security incidents.
Incident Response Plan: Definition: A structured approach and documented plan for responding to and mitigating data breaches and security incidents.
Independent Review: Definition: An external assessment of an organization’s compliance practices and controls.
Information Governance: Definition: The framework and processes for managing and protecting an organization’s information assets.
Information Security Officer (ISO): Definition: An individual responsible for overseeing an organization’s information security program and compliance.
Information Security Policy: Definition: A set of guidelines and procedures to protect an organization’s information assets from security threats and breaches.
Insider Threat: Definition: The risk posed by individuals within an organization who misuse their access or knowledge for malicious purposes, affecting compliance.
Insider Trading: Definition: Illegally buying or selling securities based on non-public, material information.
Intellectual Property Rights (IPR): Definition: Legal protections for inventions, creative works, and proprietary information, requiring compliance with IP laws.
Interagency Working Group (IWG): Definition: A collaborative effort between government agencies to address regulatory issues and promote compliance.
Internal Audit: Definition: A systematic review and evaluation of an organization’s operations, processes, and controls to ensure compliance and identify areas for improvement.
Internal Controls: Definition: Policies, procedures, and practices implemented to ensure compliance, prevent fraud, and safeguard assets within an organization.
International Traffic in Arms Regulations (ITAR): Definition: U.S. regulations governing the export and import of defense-related articles, services, and technology.
ISO 14001: Acronym: International Organization for Standardization (ISO) Standard 14001. Definition: A standard for environmental management systems that helps organizations minimize their environmental impact.
ISO 19600: Acronym: International Organization for Standardization (ISO) Standard 19600. Definition: A standard that provides guidelines for establishing, implementing, maintaining, and improving a compliance management system.
ISO 22000: Acronym: International Organization for Standardization (ISO) Standard 22000. Definition: A standard for food safety management systems, essential for compliance in the food industry.
ISO 27001: Acronym: International Organization for Standardization (ISO) Standard 27001. Definition: A standard for information security management systems that helps organizations protect their data and information assets.
ISO 45001: Acronym: International Organization for Standardization (ISO) Standard 45001. Definition: A standard for occupational health and safety management systems, critical for workplace safety compliance.
ISO 9001: Acronym: International Organization for Standardization (ISO) Standard 9001. Definition: A standard for quality management systems that focuses on meeting customer requirements and improving processes.
Kickback: Definition: A form of bribery where a party offers or receives something of value in exchange for favorable treatment.
Know Your Customer (KYC): Definition: The process of verifying the identity of customers to prevent fraud and comply with anti-money laundering regulations.
KYC: Acronym: Know Your Customer. Definition: The process of verifying the identity of customers to prevent fraud and comply with anti-money laundering regulations.
Labor Law Compliance: Definition: Compliance with laws and regulations governing labor relations, wages, hours, and workplace conditions.
Labor Law Poster Compliance: Definition: Compliance with laws requiring employers to display posters informing employees of their rights and protections.
Liability Insurance: Definition: Insurance coverage that protects individuals or organizations from legal claims and financial losses.
Licensing and Permitting: Definition: Compliance with regulations that require businesses to obtain licenses and permits to operate legally.
Lobbying: Definition: Efforts by individuals or organizations to influence government decisions, often subject to specific regulations.
Market Abuse Directive (MAD): Definition: European Union directive aimed at preventing market manipulation and insider trading.
Market Abuse Regulation (MAR): Definition: European Union regulation aimed at preventing insider trading and market manipulation.
Materiality: Definition: The significance or importance of information or events in the context of financial and compliance reporting.
Merger and Acquisition (M&A) Due Diligence: Definition: The process of evaluating the legal, financial, and compliance aspects of a potential merger or acquisition.
Mergers and Acquisitions (M&A) Compliance: Definition: Ensuring compliance with laws and regulations during the acquisition or merger of companies.
MiFID II: Acronym: Markets in Financial Instruments Directive II. Definition: European Union regulation that enhances transparency and investor protection in financial markets.
Money Laundering: Definition: The process of disguising the origins of illegally obtained money to make it appear legitimate.
Monitoring and Surveillance: Definition: The practice of continuously observing and analyzing activities to detect compliance violations and security threats.
National Labor Relations Act (NLRA): Definition: U.S. law protecting employees’ rights to organize and engage in collective bargaining.
Non-Compete Agreement: Definition: A contract that restricts an employee from working for competitors after leaving the organization, subject to compliance laws.
Non-Disclosure Agreement (NDA): Definition: A legal contract that binds parties to confidentiality, often used to protect sensitive information.
Occupational Safety and Health Administration (OSHA): Definition: U.S. agency responsible for enforcing workplace safety and health regulations.
OFAC Sanctions List: Definition: Lists of individuals, entities, and countries subject to economic and trade sanctions imposed by the U.S. Office of Foreign Assets Control (OFAC).
OFAC: Acronym: Office of Foreign Assets Control. Definition: A U.S. government agency that administers and enforces economic and trade sanctions.
Office of Inspector General (OIG): Definition: An independent office within a government agency responsible for investigating and preventing fraud, waste, and abuse.
Operational Risk: Definition: The risk of financial loss or compliance failure resulting from internal processes, systems, or human errors.
Outsourcing Compliance: Definition: Ensuring that outsourced services and functions comply with regulatory requirements and organizational standards.
Payroll Compliance: Definition: Compliance with laws and regulations governing employee compensation, including wage and hour laws.
PCI DSS: Acronym: Payment Card Industry Data Security Standard. Definition: A set of security standards for protecting payment card data.
Penetration Testing: Definition: Simulated cyberattacks on an organization’s systems to assess vulnerabilities and security compliance.
Personal Protective Equipment (PPE): Definition: Safety gear and equipment required in certain workplaces to protect employees, subject to compliance.
Phishing: Definition: Deceptive attempts to trick individuals into revealing sensitive information, often for fraudulent purposes.
Policy Management: Definition: The process of creating, maintaining, and enforcing organizational policies, including compliance policies.
Ponzi Scheme: Definition: An investment fraud that promises high returns but pays earlier investors with the capital of new investors, often leading to compliance violations.
Privacy Impact Assessment (PIA): Definition: An evaluation of the potential risks and impacts on individual privacy associated with a new project or system.
Product Liability: Definition: Liability for injuries or damages caused by defective products, subject to product safety compliance.
Product Recall: Definition: The process of withdrawing or recalling a product from the market due to safety or regulatory concerns.
Quality Assurance (QA): Definition: Systems and processes that ensure products or services meet specified quality and compliance standards.
Ransomware: Definition: Malicious software that encrypts an organization’s data and demands a ransom for its release, posing compliance and security risks.
Records Management: Definition: The systematic control of an organization’s records, including storage, retrieval, and disposal, critical for compliance.
Red Flags Rule: Definition: U.S. regulations requiring certain businesses to establish identity theft prevention programs.
Regulatory Affairs: Definition: A function within organizations that focuses on ensuring compliance with regulatory requirements in their industry.
Regulatory Compliance: Definition: Conforming to laws, regulations, and industry standards relevant to an organization’s operations.
Regulatory Reporting: Definition: The process of preparing and submitting required reports to regulatory authorities to demonstrate compliance with relevant laws and regulations.
Regulatory Technology (RegTech): Definition: Technology solutions and tools designed to help organizations streamline compliance processes and manage regulatory requirements.
Reputation Risk: Definition: The risk of damage to an organization’s reputation due to compliance failures, unethical behavior, or other negative events.
Responsible Sourcing: Definition: The practice of ensuring that products are sourced and produced in an ethical and sustainable manner.
Restitution: Definition: The requirement to compensate victims or return ill-gotten gains as part of a legal settlement, often in compliance cases.
Risk Assessment: Definition: The process of identifying, evaluating, and prioritizing potential risks to an organization’s compliance and operations.
Risk Management: Definition: The process of identifying, assessing, and mitigating risks to an organization’s operations, finances, and reputation.
Risk-Based Approach: Definition: A method of compliance management that prioritizes resources based on the level of risk posed by specific activities or areas.
Safeguarding: Definition: Measures taken to protect individuals, assets, and information from harm or unauthorized access, essential for compliance.
Sanctions: Definition: Penalties or restrictions imposed by governments or international bodies to enforce compliance with specific regulations, often related to international trade or national security.
Sarbanes-Oxley Act (SOX): Definition: U.S. legislation that established accounting and reporting requirements for publicly traded companies to prevent corporate fraud.
SEC Whistleblower Program: Definition: A program established by the U.S. SEC that provides financial incentives and protections to individuals who report securities law violations.
SEC: Acronym: U.S. Securities and Exchange Commission. Definition: The regulatory agency responsible for overseeing securities markets and enforcing related regulations.
Securities Fraud: Definition: Deceptive practices in the buying or selling of securities, subject to securities law compliance.
Security Clearance: Definition: Authorization granted to individuals to access classified information, often subject to strict background checks and compliance.
Security Incident: Definition: An event that compromises the confidentiality, integrity, or availability of an organization’s information or systems.
Security Policy: Definition: A documented set of rules, procedures, and guidelines for ensuring information security and compliance.
Self-Regulatory Organization (SRO): Definition: An organization that regulates its own industry members and members’ compliance with industry standards.
Sexual Harassment Policy: Definition: A policy outlining measures to prevent and address sexual harassment in the workplace, subject to compliance requirements.
Single Point of Contact (SPOC): Definition: A designated individual or team responsible for managing compliance-related communications and inquiries.
Social Engineering: Definition: Manipulating individuals to disclose confidential information or perform actions that compromise security and compliance.
Social Media Compliance: Definition: Compliance with regulations and guidelines when using social media for business purposes.
Social Responsibility: Definition: An organization’s commitment to ethical, sustainable, and socially beneficial practices.
SOX 404 Compliance: Definition: Compliance with Section 404 of the Sarbanes-Oxley Act, which requires the assessment and reporting of internal controls over financial reporting.
Stakeholder Engagement: Definition: Involving stakeholders in decision-making and dialogue, including discussions on ethical and compliance matters.
Stress Testing: Definition: Assessing an organization’s financial resilience under adverse economic conditions, often required for regulatory compliance.
Supervisory Control and Data Acquisition (SCADA): Definition: A system for monitoring and controlling industrial processes, often critical for infrastructure compliance.
Supply Chain Management: Definition: The oversight and control of the processes, materials, and information involved in the production and distribution of goods, subject to compliance.
System and Organization Controls (SOC): Definition: Reports on controls at a service organization that may be relevant to user entities’ internal control over financial reporting.
Tax Compliance: Definition: Adherence to tax laws and regulations, including accurate reporting and payment of taxes.
Third-Party Audit: Definition: An independent examination of a third-party organization’s compliance with agreed-upon standards or requirements.
Third-Party Due Diligence: Definition: The process of assessing and monitoring the compliance and integrity of third-party vendors, suppliers, or partners.
Third-Party Risk Assessment: Definition: Evaluating and managing risks associated with third-party suppliers, vendors, and partners.
Trade Compliance: Definition: Adherence to laws and regulations governing international trade, including import and export controls, sanctions, and customs regulations.
Trade Secret: Definition: Confidential business information that provides a competitive advantage, subject to compliance with trade secret laws.
Travel and Expense (T&E) Compliance: Definition: Ensuring compliance with policies and regulations when employees incur travel and business expenses.
UCC Filing: Definition: The process of submitting a Uniform Commercial Code filing to establish security interests in personal property, subject to compliance with UCC regulations.
Unclaimed Property: Definition: Property, such as abandoned bank accounts and unclaimed dividends, that must be reported and remitted to state authorities as required by unclaimed property laws.
United Nations Global Compact: Definition: A voluntary initiative encouraging businesses to adopt sustainable and socially responsible policies.
Vendor Code of Conduct: Definition: A set of ethical and compliance guidelines that vendors and suppliers must adhere to when conducting business with an organization.
Vendor Risk Management (VRM): Definition: The process of assessing and mitigating risks associated with third-party vendors and suppliers.
Voluntary Disclosure: Definition: The act of voluntarily reporting compliance violations or irregularities to relevant authorities or regulators.
Voluntary Self-Disclosure: Definition: The act of an organization voluntarily reporting compliance violations to relevant authorities before they are discovered independently.
Water Compliance: Definition: Compliance with laws and regulations governing water quality, usage, and disposal.
Whistleblower Protection: Definition: Legal safeguards and mechanisms to protect employees who report wrongdoing within their organization from retaliation.
Whistleblower: Definition: An individual who reports illegal or unethical activities within an organization to authorities or management.
Workplace Safety: Definition: Compliance with laws and regulations that protect employees from hazards and ensure a safe working environment.
Zero Tolerance Policy: Definition: A policy that mandates strict consequences for specific behaviors, often related to compliance violations or ethical misconduct.
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