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.

Topics

Glossary of terms and acronyms
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