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Financial terms in "Compliance and Governance"

1. Securities and Exchange Commission

2. compliance department

3. CEO

4. SC

5. boardroom

6. proxy form

7. corporate planning

8. minutes

9. self-regulation

10. Watchdog

11. Financial Services Act

12. OMB

13. Investment Management Regulatory Organisation

14. Ordinary Resolution

15. regulation

16. Disclosure

17. Statutory voting

18. Uniform Commercial Code

19. Office of Management and Budget

20. Building Societies Ombudsman

21. Companies House

22. Minority interest

23. NAIC

24. Regulation D

25. BaFin

26. CUSIP

27. Securities and Investments Board

28. Ex Officio

29. deregulation

30. registration fee

31. executive officer

32. SEC

33. Bylaws

34. Personal Investment Authority

35. FSA

36. Proxy

37. Rule 144

38. corporate governance

39. Chief Executive Officer

40. UGMA

41. Quorum

42. Suitability rules

43. prudential ratio

44. Takeover Panel

45. Registration Statement

46. Ombudsman

47. Special Resolution

48. NASD

49. Cumulative voting

50. Companies Registration Office

51. Articles Of Association

52. chief executive

53. Commodity Futures Trading Commission

54. Outside director

55. company registrar

56. general undertaking

57. Regulation Z

58. Statements of Standard Accounting Practice

59. Monopolies and Mergers Commission

60. directorate

61. Options Clearing Corporation

62. co-director

63. general meeting

64. Resolution

65. CH

66. control

67. MD

68. regulatory agency

69. UCC

70. FIMBRA

71. compliance

72. Financial Services Authority

73. Office Of Fair Trading

74. Trade Descriptions Act

75. Proxy statement

76. Proxy vote

77. CFTC

78. Statement of Financial Accounting Standards

79. Regulation S-X

80. Articles of incorporation

81. Delisting

82. Office of Thrift Supervision

83. Compliance Officer

84. Proxy fight

85. Uniform transfers to minors act

86. National Association of Securities Dealers

87. Annual meeting

88. chairman's report

89. Annual report

90. Serious Fraud Office

91. Regulation T

92. Board of Directors

93. Financial Industry Regulatory Authority

94. Registered Company

95. associate director

96. Markets in Financial Instruments Directive

97. corporate resolution

98. Committee on Uniform Securities Identification Procedures

99. Executive Director

100. accountability

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Featured term of the day

Definition / Meaning of

Office Of Compliance Inspections And Examinations (OCIE)

Categories: Estate Planning, Brokerages,

The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations ("NRSRO"s), SROs such as the financial industry regulatory authority ("FINRA") and the municipal securities rulemaking board, and the public company accounting oversight board ("PCAOB"). OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities market(s) generally.

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8. Catch-up Contribution
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