Regulatory compliance needs Definitions

  • P

    pure risk (absolute risk)

    Pure risk, also called absolute risk, is a category of threat that is beyond human control and has only one possible outcome if it occurs: loss.

  • 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.

  • risk assessment

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

  • 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 the process of identifying, assessing and controlling threats to an organization's capital and earnings.

  • S

    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.

  • speculative risk

    Speculative risk is a category of risk that can be taken on voluntarily and will either result in a profit or loss. 

  • systemic risk

    Systemic risk is a category of risk that describes threats to a system, market or economic segment.

  • U

    U.S. Department of Homeland Security (DHS)

    The U.S. Department of Homeland Security (DHS) is a federal agency designed to protect the United States against threats.

  • unsystemic risk (unsystematic risk)

    Unsystemic risk (also known as unsystematic risk) is a type of investment risk that is specific to an industry or organization.

  • V

    Video Privacy Protection Act of 1988

    The Video Privacy Protection Act of 1988 is United States legislation that prevents wrongful disclosure of an individual's personally identifiable information stemming from their rental or purchase of audiovisual material, including videotapes, DVDs and video games.

  • 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.

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