Compliance Management Definitions

  • R

    Regulation Fair Disclosure (Regulation FD or Reg FD)

    Regulation Fair Disclosure is a rule passed by the U.S. Securities and Exchange Commission that aims to prevent selective disclosure of information by requiring publicly traded companies to make public disclosure of material, nonpublic information.

  • Regulation SCI (Regulation Systems Compliance and Integrity)

    Regulation SCI is a set of compliance rules designed by the SEC to monitor and regulate the technology infrastructure of U.S. securities markets.

  • regulatory compliance

    Regulatory compliance is an organization's adherence to laws, regulations, guidelines and specifications relevant to its business.

  • residual risk

    Residual risk is a threat that remains after an organization has implemented security controls to comply with legal requirements.

  • risk appetite

    Risk appetite is a concept that helps guide organizational risk management activities by allowing officials to establish a baseline level of risk an organization is prepared to accept before taking an action, as well as evaluate the likelihood and impact of certain threats.

  • risk assessment

    Risk assessment is the identification of hazards that could negatively impact an organization's ability to conduct business.

  • risk avoidance

    Risk avoidance is the risk assessment technique that entails eliminating hazards, activities and exposures that place an organization's valuable assets at risk.

  • risk exposure

    Risk exposure is a quantified loss potential of business actions, and is usually calculated based on the probability of the incident occurring multiplied by its potential losses.

  • risk intelligence (RQ)

    Risk intelligence (RQ) is a term used to describe predictions made around uncertainties and future threat probabilities.

  • risk management

    Risk management is a company's process for identifying and controlling threats to its assets, including proprietary corporate data, customers' PII and intellectual property.

  • risk map

    A risk map is a data visualization tool for communicating specific risks an organization faces.

  • risk profile

    A risk profile is a quantitative analysis of the types of threats an organization, asset, project or individual faces. 

  • S

    Secure File Transfer Protocol (SSH File Transfer Protocol)

    SFTP is a term that refers to either Secure File Transfer Protocol or SSH File Transfer Protocol, and is a computing network protocol for accessing and managing files on remote systems.

  • Securities and Exchange Act of 1934 (Exchange Act)

    The Securities and Exchange Act of 1934 (Exchange Act) is a law that governs secondary trading and stock exchanges.

  • Senate Judiciary Committee (SJC)

    The U.S. Senate Judiciary Committee is in charge of conducting hearings prior to Senate votes on confirmation of federal judges and has broad jurisdiction over federal criminal law.

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