{"id":12146,"date":"2024-11-06T16:20:52","date_gmt":"2024-11-06T16:20:52","guid":{"rendered":"https:\/\/comply-dev.peaktwo.com\/?page_id=12146"},"modified":"2025-08-27T15:12:46","modified_gmt":"2025-08-27T15:12:46","slug":"compliance-glossary","status":"publish","type":"page","link":"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/","title":{"rendered":"Glossary"},"content":{"rendered":"<div class=\"cm-glossary grid\"><div class=\"glossary-container \"><input type=\"hidden\" class=\"cmtt-attribute-field\" name=\"glossary_index_style\" value=\"grid-style\">        <div class=\"progress-indicator\" style=\"display:none\">\r\n                            <img decoding=\"async\" src=\"https:\/\/www.comply.com\/wp-content\/plugins\/TooltipProPlus\/assets\/css\/images\/ajax-loader.gif\" alt=\"AJAX progress indicator\"\/>\r\n                    <\/div>\r\n\t\t<div class=\"glossary_top_filter\">\r\n\t\t\t<div class=\"left\">\r\n\t\t\t\t\t\t\t\t\t<span class=\"glossary-search-label\"><\/span>\r\n\t\t\t\t\t<div class=\"glossary-search-wrapper\">\r\n\t\t\t\t\t\t\t\t\t\t\t\t<input value=\"\"\r\n\t\t\t\t\t\t       placeholder=\"\"\r\n\t\t\t\t\t\t       class=\"glossary-search-term \" name=\"glossary-search-term\"\r\n\t\t\t\t\t\t       id=\"glossary-search-term\"\r\n                               aria-label=\"\"\/>\r\n\t\t\t\t\t\t<button type=\"submit\" id=\"glossary-search\"\r\n\t\t\t\t\t\t        class=\"glossary-search button\"><\/button>\r\n\t\t\t\t\t<\/div>\r\n\t\t\t\t\t<a class=\"glossary-search-clear\" title=\"Clear the input\"\r\n\t\t\t\t\t   href=\"\">\r\n\t\t\t\t\t\t\t\t\t\t\t<\/a>\r\n\t\t\t\t\t\t\t\t<\/div>\r\n\t\t\t\t\t<\/div>\r\n\r\n\t\t<input type=\"hidden\" class=\"cmtt-attribute-field\" name=\"disable_listnav\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"cmtt-attribute-field\" name=\"exact_search\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"cmtt-attribute-field\" name=\"show_search\"\r\n\t\t       value=\"1\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-terms\" name=\"glossary-hide-terms\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-categories\" name=\"glossary-hide-categories\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-abbrevs\" name=\"glossary-hide-abbrevs\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-synonyms\" name=\"glossary-hide-synonyms\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-perpage\" name=\"glossary-perpage\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" name=\"tooltip_language\"\r\n\t\t       value=\"\"\/>\r\n\t\t<input type=\"hidden\" name=\"language_dropdown\"\r\n\t\t       value=\"\"\/>\r\n\t\t<input type=\"hidden\" name=\"languages_for_table\"\r\n\t\t       value=\"\"\/>\r\n\t\t<div id=\"glossaryList-nav\" class=\"listNav medium\" role=\"tablist\"><\/div><ul class=\"glossaryList\" role=\"tablist\" id=\"glossaryList\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTermSet\"><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"a\"><\/span>a<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/annual-review\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Annual Review<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/anti-money-laundering\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Anti-Money Laundering<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/assets-under-management-aum\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Assets Under Management (AUM)\u00a0<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/audit-trail\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Audit Trail<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"b\"><\/span>b<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-1\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/broker-dealers\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Broker-Dealers\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"c\"><\/span>c<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/code-of-ethics\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Code of Ethics<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/communications-archiving\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Communications archiving<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/compliance-monitoring\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Compliance Monitoring<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/compliance-risk-assessment\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Compliance Risk Assessment<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/cryptocurrency\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Cryptocurrency<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/cybersecurity\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Cybersecurity<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"d\"><\/span>d<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-3\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/digital-assets\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Digital Assets<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"e\"><\/span>e<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-4\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/employee-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Employee Compliance\u00a0<\/span><\/a><\/li><li class=\" ln-4\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/employee-trade-monitoring\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Employee Trade Monitoring\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"f\"><\/span>f<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-5\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/financial-conduct-authority-fca\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Financial Conduct Authority (FCA)\u00a0<\/span><\/a><\/li><li class=\" ln-5\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/firm-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Firm Compliance\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"g\"><\/span>g<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-6\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/gifts-and-entertainment\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Gifts and Entertainment\u00a0<\/span><\/a><\/li><li class=\" ln-6\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/governance-risk-and-compliance-grc\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Governance, Risk, and Compliance (GRC)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"h\"><\/span>h<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-7\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/hedge-funds\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Hedge Funds\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"i\"><\/span>i<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-8\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/incident-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Incident Management<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"p\"><\/span>p<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/policies-and-procedures\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Policies and Procedures<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/policy-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Policy Management<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/private-banks\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Private Banks<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/private-funds\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Private Funds<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"r\"><\/span>r<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-17\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/regulatory-change-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Regulatory Change Management<\/span><\/a><\/li><li class=\" ln-17\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/risk-assessment-tools\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Risk Assessment Tools<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"s\"><\/span>s<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-18\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/senior-managers-and-certification-regime-smcr\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Senior Managers and Certification Regime (SMCR)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"t\"><\/span>t<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-19\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/third-party-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Third-Party Compliance<\/span><\/a><\/li><li class=\" ln-19\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/third-party-risk-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Third-Party Risk Management<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"v\"><\/span>v<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-21\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/vendor-due-diligence-vdd\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Vendor Due Diligence (VDD)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\"><span class=\"ez-toc-section\" id=\"w\"><\/span>w<span class=\"ez-toc-section-end\"><\/span><\/h3><\/li><li class=\" ln-22\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/wealth-managers\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Wealth Managers<\/span><\/a><\/li><li class=\" ln-22\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/whistleblower-policy\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Whistleblower Policy<\/span><\/a><\/li><\/ul><\/div><div class=\"clear clearfix cmtt-clearfix\"><\/div><\/div>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":24,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"class_list":["post-12146","page","type-page","status-publish","hentry"],"acf":{"hero_group":{"show_section":true,"background_color":"white","hero_subhead":"RESOURCES","hero_headline":"The Regulatory Compliance Glossary from Comply","hero_text":"<p>Compliance can be complex and confusing. But its crucial. Comply is here to help you understand the ever changing compliance landscape.<\/p>\n<style>\n.default-hero .column.image-side{display:none;}<br \/><\/style>\n","hero_button":"","hero_button_2":"","hero_image":false,"hero_logo_image_for_abx_pages":false},"hero_clone":{"hero_group":{"show_section":true,"background_color":"white","hero_subhead":"RESOURCES","hero_headline":"The Regulatory Compliance Glossary from Comply","hero_text":"<p>Compliance can be complex and confusing. But its crucial. Comply is here to help you understand the ever changing compliance landscape.<\/p>\n<style>\n.default-hero .column.image-side{display:none;}<br \/><\/style>\n","hero_button":"","hero_button_2":"","hero_image":false,"hero_logo_image_for_abx_pages":false}},"content":"<div class=\"cm-glossary grid\"><div class=\"glossary-container \"><input type=\"hidden\" class=\"cmtt-attribute-field\" name=\"glossary_index_style\" value=\"grid-style\">        <div class=\"progress-indicator\" style=\"display:none\">\r\n                            <img src=\"https:\/\/www.comply.com\/wp-content\/plugins\/TooltipProPlus\/assets\/css\/images\/ajax-loader.gif\" alt=\"AJAX progress indicator\"\/>\r\n                    <\/div>\r\n\t\t<div class=\"glossary_top_filter\">\r\n\t\t\t<div class=\"left\">\r\n\t\t\t\t\t\t\t\t\t<span class=\"glossary-search-label\"><\/span>\r\n\t\t\t\t\t<div class=\"glossary-search-wrapper\">\r\n\t\t\t\t\t\t\t\t\t\t\t\t<input value=\"\"\r\n\t\t\t\t\t\t       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value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-categories\" name=\"glossary-hide-categories\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-abbrevs\" name=\"glossary-hide-abbrevs\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-hide-synonyms\" name=\"glossary-hide-synonyms\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" class=\"glossary-perpage\" name=\"glossary-perpage\"\r\n\t\t       value=\"0\"\/>\r\n\t\t<input type=\"hidden\" name=\"tooltip_language\"\r\n\t\t       value=\"\"\/>\r\n\t\t<input type=\"hidden\" name=\"language_dropdown\"\r\n\t\t       value=\"\"\/>\r\n\t\t<input type=\"hidden\" name=\"languages_for_table\"\r\n\t\t       value=\"\"\/>\r\n\t\t<div id=\"glossaryList-nav\" class=\"listNav medium\" role=\"tablist\"><\/div><ul class=\"glossaryList\" role=\"tablist\" id=\"glossaryList\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTermSet\"><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">a<\/h3><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/annual-review\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Annual Review<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/anti-money-laundering\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Anti-Money Laundering<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/assets-under-management-aum\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Assets Under Management (AUM)\u00a0<\/span><\/a><\/li><li class=\" ln-0\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/audit-trail\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Audit Trail<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">b<\/h3><\/li><li class=\" ln-1\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/broker-dealers\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Broker-Dealers\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">c<\/h3><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/code-of-ethics\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Code of Ethics<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/communications-archiving\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Communications archiving<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/compliance-monitoring\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Compliance Monitoring<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/compliance-risk-assessment\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Compliance Risk Assessment<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/cryptocurrency\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Cryptocurrency<\/span><\/a><\/li><li class=\" ln-2\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/cybersecurity\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Cybersecurity<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">d<\/h3><\/li><li class=\" ln-3\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/digital-assets\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Digital Assets<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">e<\/h3><\/li><li class=\" ln-4\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/employee-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Employee Compliance\u00a0<\/span><\/a><\/li><li class=\" ln-4\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/employee-trade-monitoring\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Employee Trade Monitoring\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">f<\/h3><\/li><li class=\" ln-5\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/financial-conduct-authority-fca\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Financial Conduct Authority (FCA)\u00a0<\/span><\/a><\/li><li class=\" ln-5\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/firm-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Firm Compliance\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">g<\/h3><\/li><li class=\" ln-6\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/gifts-and-entertainment\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Gifts and Entertainment\u00a0<\/span><\/a><\/li><li class=\" ln-6\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/governance-risk-and-compliance-grc\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Governance, Risk, and Compliance (GRC)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">h<\/h3><\/li><li class=\" ln-7\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/hedge-funds\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Hedge Funds\u00a0<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">i<\/h3><\/li><li class=\" ln-8\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/incident-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Incident Management<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">p<\/h3><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/policies-and-procedures\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Policies and Procedures<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/policy-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Policy Management<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/private-banks\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Private Banks<\/span><\/a><\/li><li class=\" ln-15\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/private-funds\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Private Funds<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">r<\/h3><\/li><li class=\" ln-17\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/regulatory-change-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Regulatory Change Management<\/span><\/a><\/li><li class=\" ln-17\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/risk-assessment-tools\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Risk Assessment Tools<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">s<\/h3><\/li><li class=\" ln-18\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/senior-managers-and-certification-regime-smcr\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Senior Managers and Certification Regime (SMCR)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">t<\/h3><\/li><li class=\" ln-19\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/third-party-compliance\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Third-Party Compliance<\/span><\/a><\/li><li class=\" ln-19\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/third-party-risk-management\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Third-Party Risk Management<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">v<\/h3><\/li><li class=\" ln-21\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/vendor-due-diligence-vdd\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Vendor Due Diligence (VDD)<\/span><\/a><\/li><li class=\"the-letter-separator\"><\/li><li class=\"the-index-letter\"><h3 role=\"tab\">w<\/h3><\/li><li class=\" ln-22\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/wealth-managers\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Wealth Managers<\/span><\/a><\/li><li class=\" ln-22\"  itemscope itemtype=\"https:\/\/schema.org\/DefinedTerm\" ><a href=\"https:\/\/www.comply.com\/en-gb\/compliance-glossary\/whistleblower-policy\/\"  role=\"term\" class=\"glossaryLink glossary-link-title \"   style=\"\"   itemprop=\"url\" ><span itemprop=\"name\">Whistleblower Policy<\/span><\/a><\/li><\/ul><\/div><div class=\"clear clearfix cmtt-clearfix\"><\/div><\/div>\n","new_blue_header":true},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.4 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Compliance Glossary | Comply<\/title>\n<meta name=\"description\" content=\"Compliance can be complex and confusing. 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