Financial services compliance requirements

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  • FASAB (Federal Accounting Standards Advisory Board)

    The Federal Accounting Standards Advisory Board (FASAB) is an advisory committee that develops accounting standards for U.S. government agencies. 

  • 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. 

  • Office of Management and Budget (OMB)

    The Office of Management and Budget (OMB) is the business division of the Executive Office of the President of the United States that administers the United States federal budget and oversees the performance of federal agencies. 

  • Basel Committee on Banking Supervision (BCBS)

    The Basel Committee on Banking Supervision (BCBS) is a group of international banking authorities who work to strengthen the regulation, supervision and practices of banks and improve financial stability worldwide. 

  • FTC (Federal Trade Commission)

    The FTC (Federal Trade Commission) is a U.S. federal regulatory agency designed to monitor and prevent anticompetitive, deceptive or unfair business practices. 

  • FPCA (Foreign Corrupt Practices Act)

    The Foreign Corrupt Practices Act (FCPA) is a federal U.S. law aimed at preventing the bribery of foreign government officials in an effort to obtain or retain business. 

  • whistleblower

    A whistleblower is a person who voluntarily provides information to the general public, or someone in a position of authority, about dishonest or illegal business activities occurring at an organization. 

  • JOBS Act (Jumpstart Our Business Startups Act)

    The JOBS Act (Jumpstart Our Business Startups Act) is legislation that eases regulatory restrictions for new businesses to make it easier for startups to get established. The intention of the Act is to encourage more business startups, foster their s... 

  • Volcker rule

    The Volcker rule is a section of the Dodd–Frank Act that restricts U.S. banks from making speculative, high-risk investments that do not benefit customers. 

  • event log manager (ELM)

    An event log manager (ELM) is an application that tracks changes in an organization's IT infrastructure. 

  • See more Definitions on Financial services compliance requirements
About Financial services compliance requirements

Compliance professionals in the financial services industry must follow a slew of regulations covering auditing, testing, assessment, Basel II, e-discovery, FACTA, FFIEC, GLBA, PCI DSS, risk frameworks, SEC and FDIC regulations, SOX financial reporting, data security breach laws and the USA Patriot Act section 314. Get the latest financial services compliance news, advice and other resources.