合规风险 是什么？
合规风险 The risk of legal or regulatory sanctions, material financial loss, or reputational damage an organization may suffer as a result of failing to comply with laws, regulations, codes of conduct, or standards of practice.
Source: CFA Institute, IFRS Foundation, FASB (GAAP), Basel III Framework
How is “合规风险” Used in Practice?
银行必须评估与反洗钱法律相关的合规风险，并根据巴塞尔协议III和FATF建议向监管机构报告违规行为。
Certification Exam Relevance
Who Needs to Know This Term?
- Financial Analysts
- Bankers
- Traders
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合规风险 是什么？
The risk of legal or regulatory sanctions, material financial loss, or reputational damage an organization may suffer as a result of failing to comply with laws, regulations, codes of conduct, or standards of practice.
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