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.


Glossary of terms and acronyms
5AMLD5th Anti Money Laundering Directive
6AMLD6th Anti Money Laundering Directive
AIArtificial Intelligence
AMLAnti Money Laundering
APIApplication Program Interface
BOEBank of England
CCPACalifornia Consumer Privacy Act
CFTCCommodities Futures Trading Commission
DOJUS Department of Justice
EBAEuropean Banking Authority
ESGEnvironmental, social and corporate governance
ESMAEuropean Banking Authority
FCAFinancial Conduct Authority
FINRAFinancial Industry Regulatory Authority
FinTechFinancial Technology
FINTRACFinancial Transactions and Reports Analysis Centre of Canada
FRFFuture Regulatory Framework Review
GDPRGeneral Data Protection Regulation
HMRCHer Majesty's Revenue and Customs
ICOInformation Commissioner's Office
KYCKnow Your Customer
MARMarket Abuse Regulation
MASMonetary Authority of Singapore
MiFID IIMarkets in Financial Instruments Directive II
MLMachine learning
MLROMoney Laundering Reporting Officer
NLPNatural language processing
OCCOffice of the Comptroller of the Currency
OCIEOffice of Compliance Inspections and Examinations
OSFIOffice of the Superintendent of Financial Institutions
PRUPrudential Regulation Authority
RegTechRegulatory Technology
SaaSSoftware as a Service
SECUS Securities and Exchange Commission
SMCRSenior Managers and Certification Regime