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Financial terms in "Compliance and Governance"

1. co-director

2. SEC

3. Annual General Meeting

4. NAIC

5. Markets in Financial Instruments Directive

6. Financial Services Act

7. Registered Company

8. Disclosure

9. Uniform Commercial Code

10. Monopolies and Mergers Commission

11. FSA

12. Serious Fraud Office

13. boardroom

14. Companies Registration Office

15. Commodity Futures Trading Commission

16. control

17. Statutory voting

18. corporate resolution

19. FIMBRA

20. Bylaws

21. registration fee

22. Registrar

23. MD

24. corporate planning

25. Ordinary Resolution

26. Outside director

27. deregulation

28. minutes

29. Proxy vote

30. Investment Management Regulatory Organisation

31. Regulation D

32. proxy form

33. Securities and Investments Board

34. Regulation S-X

35. CFTC

36. National Association of Securities Dealers

37. associate director

38. Personal Investment Authority

39. Ex Officio

40. Board of Directors

41. CH

42. Proxy fight

43. Office Of Fair Trading

44. Takeover Panel

45. Watchdog

46. chairman's report

47. Articles Of Association

48. compliance department

49. Securities and Exchange Commission

50. prudential ratio

51. Resolution

52. Options Clearing Corporation

53. Proxy

54. UGMA

55. Executive Director

56. company registrar

57. Office of Management and Budget

58. OMB

59. Rule 144

60. Office of Thrift Supervision

61. Delisting

62. directors' report

63. NASD

64. Articles of incorporation

65. Uniform transfers to minors act

66. accountability

67. Financial Industry Regulatory Authority

68. Statements of Standard Accounting Practice

69. self-regulation

70. Proxy statement

71. Annual meeting

72. chief executive

73. Annual report

74. Compliance Officer

75. Quorum

76. corporate governance

77. executive officer

78. SC

79. National Credit Union Administration

80. Trade Descriptions Act

81. Regulation T

82. Statement of Financial Accounting Standards

83. Building Societies Ombudsman

84. BaFin

85. FINRA

86. UCC

87. Special Resolution

88. regulatory agency

89. CUSIP

90. Registration Statement

91. Financial Services Authority

92. general undertaking

93. Suitability rules

94. Securities and Futures Authority

95. general meeting

96. CEO

97. directorate

98. Regulation Z

99. Ombudsman

100. regulation

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Featured term of the day

Definition / Meaning of

Sarbanes-Oxley Act (SARBOX, SOX, SOx) Of 2002

Categories: Insurance,

removed

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