Examples of using Compliance function in English and their translations into Slovenian
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Colloquial
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Official
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Medicine
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Ecclesiastic
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Financial
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Computer
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Official/political
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Programming
Guidelines on certain aspects of the MiFID compliance function requirements.
The compliance function operates within the internal control system in line with the adopted policy.
Should Member States designate a national compliance function for this purpose?
The internal control and compliance Function is ensured via the work of the Internal Control and Compliance Department.
Ksenija Butenko Černe, a member of the Lek Board, responsible for the compliance function operations.
The set up of a national compliance function appeared to be the most effective and efficient option.
An Authorised PersonG must document the organisation, responsibilities and procedures of the compliance function.
They are to maintain a permanent and effective compliance function which operates independently.
(i) The compliance function shall have the necessary authority, resources, expertise and access to all relevant information;
This system includes a Risk Management function, a Compliance function, an Internal Audit function and an Actuarial function. .
He said:“The compliance function also protects the company against its management, since it is in the nature of their work that they necessarily take risks.”.
The latter include the risk management function, the compliance function, the internal audit function and the actuarial function. .
The compliance function of the contributor to an interest rate benchmark shall report any findings, including reverse transactions, to management on a regular basis.
The method of determining the remuneration of the relevant persons involved in the compliance function does not compromise their objectivity and is not likely to do so.
Reporting bodies operating in more than one Member State should aim to ensure coordination among national compliance officers,for example through a“Europe compliance function”.
The relevant persons involved in the compliance function are not involved in the performance of services or activities they monitor;
Similarly, the members of the Executive Board will not meet nor talk to the media, market participants or other outside interests on monetary policy matters during that period andshould immediately notify both the communications and compliance functions of the ECB if they inadvertently do so.”.
The employees involved in the compliance function must not be involved in the performance of services or activities they monitor;
Similarly, the members of the Governing Council and of the Executive Board will not meet with nor talk to the media, market participants or other outside interests on monetary policy matters during that period andshould immediately notify both the communications and compliance functions of their institution if they inadvertently do so.
(iii) The relevant person involved in the compliance function must not be involved in the performance of services or activities they monitor;
The system of governance includes the risk-management function, the compliance function, the internal audit function and the actuarial function. .
Comprehensive understanding of the roles and tasks of the compliance function and cooperation in all areas of the organizationis therefore essential if we are to make the compliance function within an organization effective so that it can fulfill its fundamental responsibility to add value and power of the second line of defense against the risks.
(30) The system of governance includes the risk-management function, the compliance function, the internal audit function and the actuarial function. .
An AIFM shall establish and maintain a permanent and effective compliance function which operates independently and has the following responsibilities.
This system includes a Risk Management function, a Compliance function, an Internal Audit function and an Actuarial function. .
The UCITS Managershall establish and maintain a permanent and effective compliance function which operates independents and which has the following responsibilities.
(2) Investment firms shall maintain a permanent and effective compliance function which operates independently and which has the following responsibilities.
The CRA infringes Article 6(2) in connection with Annex I Section A point6 by not ensuring that the conditions enabling the compliance function to discharge its responsibilities properly and independently as defined in Annex I Section A point 6(a) to(d) are satisfied.