Business and Personal Finance Dictionary

# A B C D E F G H I J K L M N O P Q R S T U V W X Y Z 

• COMPLIANCE AUDIT - is the review of financial records to determine whether the entity is complying with...
  
  
• COMPLIANCE DEPARTMENT - A department in all organized stock exchanges to ensure that all companies, tra...
  
  
• COMPLIANCE EXAM - an examination of a savings institution to determine how well it is complying with fe...
  
  
• COMPLIANCE LETTER - Required in many municipalities throughout Canada before a property transfer can ta...
  
  
• COMPLIANCE PANEL - is a multi-member committee chartered to investigate conformance to laws, rules or r...
  
  
• COMPLIANCE PERIOD - the period of time during which a thrift institution must comply with a regulation,...
  
  
• COMPLIANCE REGISTERED OPTIONS PRINCIPAL - Is the designated supervisor within a firm who is responsible...
  
  
• COMPLIANCE RISK - One of nine risks defined by the Office of the Comptroller of the Currency (OCC). The...
  
  
• COMPOSITE DELTA - Is the weighted average of the deltas associated with each underlying price scan poin...
  
  
• COMPOSITE FINANCIAL STATEMENT - is an average or index of financial statements of multiple accounting p...