IOSCO definition of the compliance function
From IOSCO's 2005 discussion paper on the Compliance function at Market Intermediaries — a function that, on an ongoing basis, identifies, assesses, advises on, monitors and reports on a market intermediary's compliance…
This one is not written up yet
The definition above is the short version. A full explanation — how it works, a worked example and the exam traps — is still being written. In the meantime the chapter below covers it in context.
Written up from the same chapter
Where this is taught
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