Joke Collection Website - Bulletin headlines - Compliance risk of compliance management
Compliance risk of compliance management
refers to the risk that a securities company will be sanctioned by law, taken regulatory measures, suffered property losses or reputation losses due to the violation of laws, regulations or standards by the management or practice of the securities company or its staff. Compliance risk is the inducement of the existence and performance of legal risk, market risk, credit risk, liquidity risk, especially operational risk.
the core concept of compliance culture: full compliance, compliance starting from the top, active compliance and compliance creating value.
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