WHAT IS COMPLIANCE?

Abstract

This paper examines the nature of compliance, and its role within the modern financial services organisation. Defining compliance as the management of regulatory risk, the paper analyses what those risks are, and outlines the process by which firms should seek to manage that risk. It concludes by outlining the possible benefits of such an approach.

Citation

ADAMS, G. (1994), "WHAT IS COMPLIANCE?", Journal of Financial Regulation and Compliance, Vol. 2 No. 4, pp. 278-285. https://doi.org/10.1108/eb024816