Relevant bibliographies by topics / Financial Compliance Definitions

Contents

  1. Journal articles
  2. Book chapters
  3. Conference papers
  4. Reports

Academic literature on the topic 'Financial Compliance Definitions'

Author: Grafiati
Published: 5 June 2025
Last updated: 2 August 2025

Create a spot-on reference in APA, MLA, Chicago, Harvard, and other styles

Select a source type:

Consult the lists of relevant articles, books, theses, conference reports, and other scholarly sources on the topic 'Financial Compliance Definitions.'

Next to every source in the list of references, there is an 'Add to bibliography' button. Press on it, and we will generate automatically the bibliographic reference to the chosen work in the citation style you need: APA, MLA, Harvard, Chicago, Vancouver, etc.

You can also download the full text of the academic publication as pdf and read online its abstract whenever available in the metadata.

Journal articles on the topic "Financial Compliance Definitions"

1

Vakhorina, Marina. "Impact of the Compliance system on the Financial Performance of an Economic Entity." Scientific Research and Development. Economics 8, no. 6 (2020): 30–34. http://dx.doi.org/10.12737/2587-9111-2020-30-34.

Full text
Abstract:
The aim of the research is to provide a theoretical and practical justification for implementing a compliance system for business management in order to prevent financial risks. To achieve this goal, the definitions of the concept of "compliance" for business purposes from various sources are considered, since there is no normative concept. The author offers the definition of "compliance" as a set of measures aimed at compliance with legal norms and internal rules of an economic entity in order to protect the interests of owners and eliminate financial risks. The experience of business managem
APA, Harvard, Vancouver, ISO, and other styles
2

Chikulaev, R. V. "TRANSFORMATION OF THE CIVIL CONSTRUCTION OF A SECURITY IN THE CONTEXT OF THE DYNAMICS OF RUSSIAN LEGISLATION." Ex jure, no. 3 (2021): 145–64. http://dx.doi.org/10.17072/2619-0648-2021-3-145-164.

Full text
Abstract:
Abstract: the article analyzes the main stages of formation and modification of the civil construction of a security paper under Russian law. The features and directions of development of the legal form and general legal content of security papers in the aspect of their compliance with the definition and conceptual understanding as financial instruments are revealed. The main theoretical categories are considered in their unity: legal structure, legal regime, legal nature. New approaches to the definition of basic legal definitions and corresponding legal concepts that contribute to strengthen
APA, Harvard, Vancouver, ISO, and other styles
3

Semushkin, N. S., and M. A. ALDZHABARI. "FINANCIAL AND TAX COMPLIANCE UNDER CONDITIONS OF DIGITAL TRANSFORMATION: TOOLKIT AND ITS APPLICATION." Scientific Journal of the Academy, no. 3 (2024): 72–75. https://doi.org/10.36683/nz47.72-75.

Full text
Abstract:
Issues related to such branch of activity as compliance are explored. Key definitions and their relationship are determined. Particular emphasis is placed on finance and taxes, as the basis for business functioning. Small, medium and large enterprises are considered. Digital transformation and its main directions are analyzed in the context of financial and tax compliance. Its tools and areas of application are highlighted. Methodology for selecting tools and recommendations for their implementation for the enterprise of any size under conditions of digital transformation is suggested.
APA, Harvard, Vancouver, ISO, and other styles
4

Donald, L. Buresh Ph.D. Esq. "Nine Cases and Scenarios Involving Retail Financial Compliance." International Journal of Social Science and Human Research 07, no. 07 (2024): 5716–45. https://doi.org/10.5281/zenodo.13140586.

Full text
Abstract:
This article discusses retail financial compliance from the perspective of nine cases and scenarios. First, the paper defines financial compliance, a fiduciary, a fiduciary’s standard of care, and a broker/dealer. It then describes under what conditions a broker/dealer is a fiduciary. Next, the Consumer Protection Rule is explained and its application to Merrill Lynch’s misuse of customer funds, where the company did not deposit customer cash in a reserve account, thereby putting customer money at risk in the event of bankruptcy. The five Anti-Money Laundering pillars are listed, i
APA, Harvard, Vancouver, ISO, and other styles
5

Haynes, Andrew. "The EU market abuse regulation, where does it leave us?" Journal of Financial Regulation and Compliance 26, no. 4 (2018): 482–504. http://dx.doi.org/10.1108/jfrc-08-2017-0062.

Full text
Abstract:
Purpose The purpose of this paper is to provide an analysis of the market abuse regulation to determine whether the general assumption that it has made little difference to the pre-existing UK law on market abuse is accurate. In particular, the potential impact on compliance and behaviour in financial services firms and those who potentially receive inside information is considered. Design/methodology/approach The methodology adopted is a combination of critical analysis and black letter law utilised to determine the content and potential impact of the market abuse regulation. A process of dis
APA, Harvard, Vancouver, ISO, and other styles
6

Gastwirth, Joseph L. "Statistical issues arising in the Office of Federal Contract Compliance’s recent notice on nondiscrimination obligations’ of contractor’s and the concerns raised in the comments submitted by the U.S. Chamber of Commerce." Law, Probability and Risk 19, no. 1 (2020): 109–17. http://dx.doi.org/10.1093/lpr/mgaa007.

Full text
Abstract:
Abstract A proposed rule announced by the Office of Federal Contract Compliance describing the way statistical tests will be used in compliance reviews led to the Chamber of Commerce filing a formal Comment. The comment raises several statistical issues, including the proper analysis of stratified data and the effect of large samples on tests of significance. The Chamber correctly pointed out that simple pooling of the data into one large sample can lead to misleading conclusions, so an appropriate analysis, combining the results of statistical analyses of the individual strata into an overall
APA, Harvard, Vancouver, ISO, and other styles
7

Kiss, Milán. "What’s Behind the Bank Account? : Questions about Distinguishing Account Types." Financial and Economic Review 24, no. 2 (2025): 132–52. https://doi.org/10.33893/fer.24.2.132.

Full text
Abstract:
The essay presents a classification of the types of accounts maintained by financial entities and their different legal definitions. The colloquial term “bank account” can in fact encompass a variety of account types, including payment, deposit, client or electronic money accounts, each of which is subject to distinct regulatory rationales and operating principles. The classification of accounts also determines the prudential measures applicable, the necessary authorisations, the requirements for IT systems and the responsibilities of service providers. The essay delineates the evolution of EU
APA, Harvard, Vancouver, ISO, and other styles
8

Pi, Shih-Ming, and Ghassan Khaled Al-Zu’bi. "The Role of Knowledge Management for Industrial Safety Compliance." Mechanism of an Economic Regulation, no. 1 (2020): 56–63. http://dx.doi.org/10.21272/mer.2020.87.04.

Full text
Abstract:
The paper investigates the role of knowledge management in safety compliance in the industrial sector. The article reveals that problems with safety compliance have a negative impact on the enterprises’ activity. It is emphasized that knowledge management, which has recently become a novel tendency in business, has a strong influence on the managerial activities of the enterprise. Different approaches to defining the concept of knowledge management are identified. The creation of knowledge management was supported by many political, social, economic, and technological factors, including a broa
APA, Harvard, Vancouver, ISO, and other styles
9

Prorokowski, Lukas, and Hubert Prorokowski. "Solutions for risk data compliance under BCBS 239." Journal of Investment Compliance 16, no. 4 (2015): 66–77. http://dx.doi.org/10.1108/joic-01-2015-0015.

Full text
Abstract:
Purpose – BCBS 239 sets out a challenging standard for risk data processing and reporting. Any bank striving to comply with the principles will be keen to introspect how risk data is organized and what execution capabilities are at their disposal. With this in mind, the current paper advises banks on the growing number of solutions, tools and techniques that can be used to support risk data management frameworks under BCBS 239. Design/methodology/approach – This paper, based on a survey with 29 major financial institutions, including G-SIBs and D-SIBs from diversified geographical regions such
APA, Harvard, Vancouver, ISO, and other styles
10

Hackman, Katarina. "When failure is not an option: The challenge of implementing Australian financial services regulations in organisations." GRC Journal, no. 11 (August 1, 2017): 21–29. https://doi.org/10.5281/zenodo.15253284.

Full text
Abstract:
This article explores the reasons why implementing Australian Financial Services regulations in organisations is such a challenge. These challenges are important to explore, because such regulations must be implemented successfully if organisations want to continue in business. Many organisations, however, report experiencing mixed levels of success, despite spending significant time and resources on regulatory projects and compliance activities. Using a change management lens, a complex set of interconnected dynamics for regulations and organisations was identified. While many of these underl
APA, Harvard, Vancouver, ISO, and other styles
More sources

Book chapters on the topic "Financial Compliance Definitions"

1

de Koker, Louis. "The FATF’s Combating of Financing of Proliferation Standards: Private Sector Implementation Challenges." In Financial Crime and the Law. Springer Nature Switzerland, 2024. http://dx.doi.org/10.1007/978-3-031-59543-1_6.

Full text
Abstract:
AbstractThe financial integrity standards of the Financial Action Task Force (FATF) create a framework that enlists financial institutions and designated businesses and professions. The effectiveness of the standards is highly dependent on the effectiveness of the measures employed by these regulated institutions. This chapter considers the challenges faced by regulated institutions to comply with the 2020 amendments to the FATF’s standards aimed at combating the financing of the proliferation of weapons of mass destruction. The FATF first adopted proliferation financing (PF) measures in 2012.
APA, Harvard, Vancouver, ISO, and other styles
2

Lucatello, Simone, and José Eduardo Tovar Flores. "Carbon Finance and Emission Trading in Mexico: Building Lessons from the CDM Experience and FOMECAR (Mexican Carbon Fund)." In Springer Climate. Springer International Publishing, 2021. http://dx.doi.org/10.1007/978-3-030-82759-5_8.

Full text
Abstract:
AbstractA more general lesson from the past decade is that climate policy and carbon initiatives such as ETS and carbon pricing are not static concepts, but are instead constantly evolving and building upon previous experiences. The vision of a single, top-down global trading system has shifted toward the reality of various single and regional trading system programmes. Building a national emission trading system in Mexico will surely pass through processes and experiences that the country has somehow undertaken from the Kyoto Protocol (KP) in 2005, particularly with the Clean Development Mech
APA, Harvard, Vancouver, ISO, and other styles
3

Sydorchuk, Orystlava, and Serhii Khomiuk. "RISKS AND THREATS TO ENSURING UKRAINE’S ECONOMIC SECURITY IN THE CONTEXT OF MILITARY INFLUENCE." In Modernisation of the Economy and Financial System: Problems, Opportunities, Prospects. Publishing House "Baltija Publishing", 2025. https://doi.org/10.30525/978-9934-26-540-2-18.

Full text
Abstract:
The concepts of 'risk', 'threat', 'danger' in the context of ensuring the economic security of Ukraine have been studied and their definitions have been provided, taking into account the military influence and features of the public administration system as a tool for ensuring economic security at the regional and local levels. The main external and internal risks, threats and dangers to ensure the economic security of Ukraine in the context of long-term armed aggression have been identified. Particular attention is paid to the problem of corruption as one of the main internal threats to the e
APA, Harvard, Vancouver, ISO, and other styles
4

Bakar Türegün, Feride, and Adnan Gerçek. "Managing the Current Risks of Companies." In Handbook of Research on New Challenges and Global Outlooks in Financial Risk Management. IGI Global, 2022. http://dx.doi.org/10.4018/978-1-7998-8609-9.ch012.

Full text
Abstract:
The taxation power of governments affects companies' business activities. For this reason, the legal limit of tax law must be known by taxpayers. Uncertainty, frequent changes, and interpretation differences in the tax field and reporting reveal tax risks. Today, companies, especially large ones, accept tax risk as a part of the risk management process. Focusing on tax risk management, this chapter presents the discussions on various definitions of tax risk and on the tax risk categories, factors that affect tax risk. The applicability of tax risk management is evaluated from the following per
APA, Harvard, Vancouver, ISO, and other styles
5

Koval, Lyubov. "ESSENCE, TYPES OF INSURANCE AND ITS DEVELOPMENT IN AGRICULTURE." In Financial mechanism in the system of economic vectors of development of Ukraine. Publishing House “Baltija Publishing”, 2023. http://dx.doi.org/10.30525/978-9934-26-291-3-6.

Full text
Abstract:
The purpose of the paper is to explores the economic essence of the insurance category in the theoretical aspect and the regulatory framework and reveals the importance of insurance for agriculture as one of the means of maintaining the normal functioning of the enterprise; an improved classification of insurance types is proposed and the objects of accounting and audit of insurance calculations are determined. Studies have shown that in the existing regulations there is no general interpretation of the term "insurance". All definitions of insurance mainly concern the protection of property or
APA, Harvard, Vancouver, ISO, and other styles
6

McMeel, Gerard, and John Virgo. "Some Aspects of Insurance Law." In Financial Advice and Financial Products. Oxford University PressOxford, 2001. http://dx.doi.org/10.1093/oso/9780198268239.003.0029.

Full text
Abstract:
Abstract A key area of protection to professional advisers is the availability of professional indemnity insurance cover in respect of negligent or non-compliant advice. The scope of the protection afforded by such policies in reality was thrown into sharp focus by a series of claims for cover arising out of the Pensions Review. The principles which emerged are of general application and fall properly to be considered here. By way of specific background to these issues it may be noted that the Pensions Review highlighted the difficulties experienced by the insured as to what is a ‘notifiable e
APA, Harvard, Vancouver, ISO, and other styles
7

Oydag, H. Ebru, and Ozlem Senvar. "General Overview to Enterprise Risk Management With Its Key Components and Determinants From the Management Perspectives." In Social, Economic, and Environmental Impacts Between Sustainable Financial Systems and Financial Markets. IGI Global, 2020. http://dx.doi.org/10.4018/978-1-7998-1033-9.ch013.

Full text
Abstract:
Enterprise Risk Management (ERM) is a comprehensive and holistic approach to risk management, requiring the determination, assessment and management of risks in an integrated and systematic manner. ERM has been considered as a financial, and accounting-based tool used to assess and manage the risks an organisation faces and to meet the compliance requirements of creditors, rating agencies, regulators and stock exchanges. Although ERM is widely examined by internal audit and finance scholars, ERM researches from management and strategy perspectives are limited in the literature. The purpose of
APA, Harvard, Vancouver, ISO, and other styles
8

Rehman, Tansif Ur. "Banking Perspective of E-Commerce and Digital Enterprise Transformation." In Handbook of Research on Management and Strategies for Digital Enterprise Transformation. IGI Global, 2021. http://dx.doi.org/10.4018/978-1-7998-5015-1.ch013.

Full text
Abstract:
Digital enterprise transformation facilitates financial services organizations via enabling them to be more secure, compliant, as well as being digital. It modifies the experience of employees, partners, customers, and stakeholders. The contemporary world is changing very rapidly as information technology has redefined e-commerce. In its simplest sense, a baseline definition of e-commerce can be the performing of business by engaging computer networks and telecommunication aspects. In a narrow sense, e-commerce is pertinent to the commercial sphere involving transactions and people relate it t
APA, Harvard, Vancouver, ISO, and other styles
9

Puhalskyi, Vadym. "THE NECESSITY OF ORIGIN, ECONOMIC CONTENT AND THE ESSENCE OF TAX CONTROL." In Theoretical and practical aspects of the development of modern scientific research. Publishing House “Baltija Publishing”, 2022. http://dx.doi.org/10.30525/978-9934-26-195-4-9.

Full text
Abstract:
Changes in tax legislation, the introduction of digital technologies have necessitated theoretical research and disclosure of the content of the definition of «tax control». The subject of the study is the economic content of the definition of «tax control» in terms of expanding information flows and digital data processing technologies. The necessity, role and essence of control are considered. Emphasis is placed on the fact that financial relations cannot exist without proper state financial control, the importance of which is manifested in one of the important functions of the financial man
APA, Harvard, Vancouver, ISO, and other styles
10

Mosca, Chiara. "Principles of Secondary Market Disclosure." In Regulating EU Capital Markets Union. Oxford University PressOxford, 2025. https://doi.org/10.1093/oso/9780192882691.003.0018.

Full text
Abstract:
Abstract The Market Abuse Regulation (MAR) is a key pillar of EU financial markets, designed to provide secondary markets with a high level of transparency. MAR establishes, through a broad definition, what constitutes insider information and requires issuers to disclose, as soon as possible, any corporate inside information. After nearly a decade, the application of the MAR revealed divergent interpretations across Member States and high compliance costs for issuers. In response, the European Commission proposed, as part of the Listing Act, amendments to certain original provisions of MAR. Ai
APA, Harvard, Vancouver, ISO, and other styles

Conference papers on the topic "Financial Compliance Definitions"

1

Mihaila, Nicoleta. "Tax havens. Theoretical concepts at international level." In Economic growth in the conditions of globalization. International Scientific-Practical Conference, XVIth edition. National Institute for Economic Research, 2022. https://doi.org/10.36004/nier.cecg.iii.2022.16.8.

Full text
Abstract:
Tax havens are a recent concern of many countries; they reduce public revenues by encouraging tax evasion, avoiding legal regulations and losing financial flows. As a result, tax havens increase state debt, facilitate money laundering, fuel inequalities and exacerbate financial instability. In our paper we try to approach at a theoretical level the tax haven, more precisely, the definition of the concept itself and the main ways of supply (through tax optimization / tax evasion, transfer pricing, etc.), the issue of tax compliance (a cause of tax haven development is lack this compliance), as
APA, Harvard, Vancouver, ISO, and other styles
2

Macdonald, John. "ISO 19859: Gas Turbine Applications — Requirements for Power Generation and How Standards Can Reduce Procurement Cost." In ASME Turbo Expo 2016: Turbomachinery Technical Conference and Exposition. American Society of Mechanical Engineers, 2016. http://dx.doi.org/10.1115/gt2016-57422.

Full text
Abstract:
Procurement of turbo-machinery requires definition of a functional requirements and this is a complex set of specifications including performance, reliability, lifetime, operational envelope, maintainability, compliance with regulations, quality assurance, project management, documentation, installation and commissioning. For various market and historical reasons there is a variation in the range of content, complexity and depth of the procurement documents produced by both purchasers and suppliers and this provides a challenge for both parties as a detailed and lengthy document exchange is ty
APA, Harvard, Vancouver, ISO, and other styles
3

Gower, Stephen R., and David Whitman. "Guidance on In Line Inspection First Run Success." In 2012 9th International Pipeline Conference. American Society of Mechanical Engineers, 2012. http://dx.doi.org/10.1115/ipc2012-90284.

Full text
Abstract:
First run success is a key performance measure used in the BP Global In Line Inspection (ILI) Contract [1]. This drives effectiveness and efficiency in the processes supporting ILI and it is a key commercial performance indicator for ILI Suppliers. Although run success rates are often referred to across the industry there has been little standardisation in the terminology, or the factors that lead to a successful run. Three definitions have been established for run success: Technical; Commercial and Operational. Each has a place although it is Operational run success that drives improvements b
APA, Harvard, Vancouver, ISO, and other styles
4

Dermengi, Daniela. "Opportunity costs of banking supervision." In International scientific conference "Development Through Research and Innovation" IDSC-2025. Academy of Economic Studies, 2025. https://doi.org/10.53486/dri2025.32.

Full text
Abstract:
This paper focuses on the definition of banking supervision and indicators of effort and effect of banking supervision. The idea of the importance of measuring the effectiveness of supervision through cost-benefit analysis has been profiled and the categories of costs of supervision have been categorized according to several authors. In addition to direct costs related to personnel, remuneration, technical sources, supervision entails many indirect costs, including compliance and opportunity costs. According to some authors, the ratio of indirect to direct costs is 4:1. This is also why the ta
APA, Harvard, Vancouver, ISO, and other styles

Reports on the topic "Financial Compliance Definitions"

1

Knobel, Andrés. Regulation of Beneficial Ownership in Latin America and the Caribbean. Inter-American Development Bank, 2017. http://dx.doi.org/10.18235/0010683.

Full text
Abstract:
The international community is increasingly aware that adopting laws, regulations, and mechanisms to gather and exchange information about “beneficial owners” (BOs) is crucial for combating tax evasion, money laundering, corruption, and the financing of terrorism. This paper explains the concept of beneficial owner, describes the standards in this area that countries should commit to, and presents the ratings achieved under the FATF and GF evaluations by each one of the 26 Inter-American Development Bank borrowing member countries regarding their beneficial ownership laws and regulations. More
APA, Harvard, Vancouver, ISO, and other styles
You might also be interested in the extended bibliographies on the topic 'Financial Compliance Definitions' for particular source types:
Journal articles
We offer discounts on all premium plans for authors whose works are included in thematic literature selections. Contact us to get a unique promo code!

To the bibliography