1
حسابداری و مالی::
برنامه تطبیق
The processes established for managing compliance risk on a firmwide basis should be formalized in a compliance program that establishes the framework for identifying, assessing, controlling, measuring, monitoring, and reporting compliance risks across the organization, and for providing compliance training throughout the organization.
Compliance programs at such organizations should include more robust processes for identifying, assessing, controlling, measuring, monitoring, and reporting compliance risk, and for providing compliance training throughout the organization in order to appropriately control the heightened level and complexity of compliance risk.
In lieu of relying on a corporate compliance function to play a key role in providing day-to-day oversight of the compliance program, these organizations may rely on executive and management committees that are actively involved in providing ongoing corporate oversight of the compliance risk management program.
An organization that adopts this approach, however, should ensure that its compliance program incorporates controls that effectively address compliance risks that transcend business lines, legal entities, and jurisdictions of operation; that appropriate firmwide standards are established for the business lines to follow in managing compliance risk and reporting on key compliance matters; and that the organization is appropriately overseeing the implementation of its compliance risk management program.
Each foreign banking organization supervised by the Federal Reserve should implement a compliance program that is appropriately tailored to the scope, complexity, and risk profile of the organization's U.S. operations.
واژگان شبکه مترجمین ایران