History of Compliance
Glossary of Key Terms Compliance: The act or process of adhering to rules, laws, regulations, standards, or ethical guidelines.Due Diligence: The process of taking reasonable steps to ensure the accur...
13 Feb 20254min
Understanding Compliance Vocabulary
Glossary of Key Terms Accountability: The state of being responsible and answerable for one's actions and decisions.Adhere (to): To stick to, follow, or comply with a rule, agreement, or plan.Audit: A...
12 Feb 20255min
Picture this: Compliance 101
Glossary of Key Terms Compliance: The act of adhering to a set of rules, laws, standards, and ethical guidelines. In finance, it refers to the framework institutions and individuals use to ensure that...
11 Feb 20254min
What is Compliance?
Glossary of Key Terms Compliance: The act of adhering to rules, laws, and regulations established by governing bodies, both internal and external.Regulations: Rules or directives issued and enforced b...
4 Feb 20255min
Prepositions in Legal English: "By" vs "For"
Glossary of Key Terms Preposition: A word that shows the relationship between a noun or pronoun and other words in a sentence (e.g., by, for, with, in, at).Agent: The person or thing that performs an ...
31 Jan 20253min
Vocabulary for Raising Capital
Glossary of Key Terms Seed Funding: Early-stage funding provided to a new business to help it get started.Debt Financing: Borrowing money that must be repaid over time with interest.Incubator: A compa...
30 Jan 20254min
Securities Law Vocabulary
Glossary of Key Terms Asset: Something of value that a person or company owns. Capital: Money used to start or grow a business. Commodity: Raw materials, like oil or gold, that are traded. Dividend: A...
29 Jan 20257min
1.8 SEC v WJ Howey
Glossary of Key Terms Investment Contract: A contract, transaction, or scheme where a person invests money in a common enterprise with the expectation of making a profit primarily from the efforts of ...
28 Jan 20255min
