Compliance

Compliance
sinngemäß Einhaltung bestimmter Regeln. Wertpapierdienstleistungsunternehmen sind gemäß §§ 31 ff. WpHG verpflichtet, dafür zu sorgen, dass Börsengeschäfte ihrer Mitarbeiter in Wertpapieren, Derivaten, Devisen oder Edelmetallen nicht gegen die eigenen Interessen und die ihrer Kunden vorgenommen werden. Dieses erfolgt innerhalb der Kreditinstitute durch Arbeitsanweisungen für solche Geschäfte und deren Überwachung oft durch eine eigens gebildete „C.-Abteilung“. C. ist eine vertrauensbildende Maßnahme zu Gunsten der Kapitalmärkte und deren Marktteilnehmer. Insidergeschäfte sollen damit verhindert werden.
- Vgl. auch  Insider-Richtlinien. Literatursuche zu "Compliance" auf www.gabler.de

Lexikon der Economics. 2013.

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  • compliance — com‧pli‧ance [kəmˈplaɪəns] noun [uncountable] LAW when someone obeys a law or rule or keeps an agreement: • The Coast Guard can board any ship and check its compliance with safety rules. • The refinery is operating safely and in compliance with… …   Financial and business terms

  • compliance — com·pli·ance /kəm plī əns/ n 1: an act or process of complying with a demand or recommendation 2: observance of official requirements Merriam Webster’s Dictionary of Law. Merriam Webster. 1996 …   Law dictionary

  • Compliance — can mean: In mechanical science, the inverse of stiffness Compliance (medicine), a patient s (or doctor s) adherence to a recommended course of treatment Compliance (physiology), the tendency of a hollow organ to resist recoil toward its original …   Wikipedia

  • compliance — ● compliance nom féminin Compliance pulmonaire, élasticité des poumons, dont la mesure est utilisée dans le bilan des maladies respiratoires. ● compliance (expressions) nom féminin Compliance pulmonaire, élasticité des poumons, dont la mesure est …   Encyclopédie Universelle

  • compliance — compliance, types of compliance The organizational sociologist Amitai Etzioni distinguished three means by which organizations (see organization theory ) could secure compliance from their members essentially three types of power by which… …   Dictionary of sociology

  • Compliance — Com*pli ance, n. [See {Comply}.] 1. The act of complying; a yielding; as to a desire, demand, or proposal; concession; submission. [1913 Webster] What compliances will remove dissension? Swift. [1913 Webster] Ready compliance with the wishes of… …   The Collaborative International Dictionary of English

  • compliance — [kəm plī′əns] n. 1. a complying with or giving in to a request, wish, or demand; acquiescence 2. a tendency to give in readily to others: Also compliancy in compliance with in accordance with …   English World dictionary

  • compliance — 1640s, from COMPLY (Cf. comply) + ANCE (Cf. ance). Related: Compliancy; compliant …   Etymology dictionary

  • compliance — acquiescence, resignation (see under COMPLIANT) Analogous words: obedience, docility, amenableness, tractableness (see corresponding adjectives at OBEDIENT): submitting or submission, yielding, deferring or deference (see corresponding verbs at… …   New Dictionary of Synonyms

  • compliance —  Compliance  Податливость   Величина, обратная модулю упругости при растяжении (D), модулю сдвига (G) или модулю всестороннего сжатия (B); эти величины связаны следующим соотношением: D=G/3+B/9 …   Толковый англо-русский словарь по нанотехнологии. - М.

  • compliance — [n] agreement acquiescence, amenability, assent, complaisance, concession, concurrence, conformity, consent, deference, docility, obedience, observance, passivity, resignation, submission, submissiveness, tractability, yielding; concepts 411,684… …   New thesaurus

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