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Financial compliance means that all the regulations and restrictions are being followed.Compliance administration is a fast growing field in the financial services industry.
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Explain relationship between financial and non-financial performance indicators in achieving corporate governance compliance?
relationship between financial and non-financial performance indicators in achieving corporate governance compliance.
Who reviews reports for SEC compliance?
Financial Accounting
What are Financial Services and Compliance Auditing like in Hong Kong?
Compliance Auditing is usually part of financial services. In Hong Kong which is a business city, most companies have in-house compliance auditing, although some small businesses use external financial services to audit their income.
What are the requirements necessary to start a career in financial compliance?
You need to register with the Financial Industry Regulatory Authority and take a variety of examinations. Check out http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/MemberFirms/HowToBecomeaMember/
Describe the uses of financial information?
Evaluating the financial condition of an entityEvaluating stewardshipEvaluating the effectiveness of operationsDetermine the compliance of operation with directives.
Where can someone go to learn more about audit compliance?
There are many financial organisations where one could go for information about audit compliance. There is also the Compliance Audit Handbook produced by the DEC which gives useful information.
What compliance courses are offered by The international Compliance Association?
The International Compliance Association offers courses in Anti Money Laundering Awareness, Compliance Awareness, and Financial Crime Prevention. The classes are held in different cities and times. The schedule can be found on the INT-company website.
What are the penalties for failing COBRA compliance?
There are financial penalties if individuals or companies fail COBRA compliance. These are enforced by the IRS (Inland Revenue Service) and DOL (Department of Labour).
What is the goal if IT Financial Management?
The goal of IT Financial Management is to ensure that optimal use is made of the organization's financial resources and that this is achieved in compliance with the regulatory framework within which the IT service provider operates.
What does the term 'compliance risk' mean?
'Compliance risk' means the risk of material financial loss, legal liability, or loss of reputation to a business as a result of its failure to comply with the law.
What are the three main types of audits?
The three primary types of audits are financial, operational, and compliance audits.
What exactly is compliance pci?
Payment Card Industry (PCI) compliance is a set of standards that a company must adhere to concerning payments from customers via credit or debit cards.
