
Compliance Corner
Welcome to the Compliance corner section. We have organised compliance and regulator specific content here. You can filter the content based on Jurisdiction and keywords.
Detailed content can be viewed by clicking on the topic dropdown.
Acronym | Meaning |
---|---|
5AMLD | 5th Anti Money Laundering Directive |
6AMLD | 6th Anti Money Laundering Directive |
AI | Artificial Intelligence |
AML | Anti Money Laundering |
API | Application Program Interface |
BOE | Bank of England |
CCPA | California Consumer Privacy Act |
CFTC | Commodities Futures Trading Commission |
DOJ | US Department of Justice |
EBA | European Banking Authority |
ESG | Environmental, social and corporate governance |
ESMA | European Banking Authority |
FCA | Financial Conduct Authority |
FINRA | Financial Industry Regulatory Authority |
FinTech | Financial Technology |
FINTRAC | Financial Transactions and Reports Analysis Centre of Canada |
FRF | Future Regulatory Framework Review |
Acronym | Meaning |
---|---|
GDPR | General Data Protection Regulation |
HMRC | Her Majesty's Revenue and Customs |
ICO | Information Commissioner's Office |
KYC | Know Your Customer |
MAR | Market Abuse Regulation |
MAS | Monetary Authority of Singapore |
MiFID II | Markets in Financial Instruments Directive II |
ML | Machine learning |
MLRO | Money Laundering Reporting Officer |
NLP | Natural language processing |
OCC | Office of the Comptroller of the Currency |
OCIE | Office of Compliance Inspections and Examinations |
OSFI | Office of the Superintendent of Financial Institutions |
PRU | Prudential Regulation Authority |
RegTech | Regulatory Technology |
SaaS | Software as a Service |
SEC | US Securities and Exchange Commission |
SMCR | Senior Managers and Certification Regime |