• AML compliance (Anti-Money Laundering): Adherence to laws and regulations aimed at preventing money laundering and other financial crimes
• AML/CFT compliance (Anti-Money Laundering/Combating the Financing of Terrorism): Adherence to laws and regulations related to anti-money laundering and countering the financing of terrorism.
• Auditing: The process of independently reviewing and verifying compliance with laws, regulations, and standards
• BSA compliance (Bank Secrecy Act): Adherence to laws and regulations related to anti-money laundering and countering the financing of terrorism, such as the Bank Secrecy Act of 1970.
• Bullet Point List All Compliance: Terminology and Related Definitions.
• CCPA compliance (California Consumer Privacy Act): Adherence to laws and regulations related to the protection of personal data, such as the California Consumer Privacy Act of 2018
• CFTC compliance (Commodity Futures Trading Commission): Adherence to laws and regulations related to the commodity futures and derivatives markets, such as those enforced by the U.S. Commodity Futures Trading Commission
• CIP compliance (Customer Identification Program): Adherence to laws and regulations related to customer due diligence and identification, such as those established by the Financial Crimes Enforcement Network (FinCEN).
• COBIT compliance (Control Objectives for Information and related Technology): Adherence to a framework for IT governance and management
• Compliance analytics: The use of data analysis and visualization techniques to identify trends, patterns, and anomalies in compliance-related data, to identify and manage compliance risks.
• Compliance assessment: The process of evaluating and identifying an organization’s compliance risks, gaps and vulnerabilities.
• Compliance automation: The use of technology and software to automate compliance-related tasks such as risk assessment, monitoring, and reporting.
• Compliance certification: A formal recognition or validation that an organization has met certain compliance standards or requirements.
• Compliance checklist: A document or tool that helps organizations ensure compliance with laws, regulations, and standards by listing the specific actions and controls that must be in place.
• Compliance culture: An organization’s overall attitude and mindset towards compliance, which is reflected in the actions and behaviors of its employees.
• Compliance dashboard: A visual representation of an organization’s compliance metrics and performance, typically in the form of charts, graphs, and tables.
• Compliance documentation: All records, reports, and other documents related to an organization’s compliance program.
• Compliance enforcement: The process of taking action against individuals or organizations that violate laws, regulations, or standards.
• Compliance framework: A comprehensive system of policies, procedures, and controls that an organization puts in place to ensure compliance with relevant laws, regulations, and standards.
• Compliance governance: The overall management and oversight of an organization’s compliance program by senior management or a board of directors.
• Compliance Hotline: A confidential means for employees, customers, and other stakeholders to report compliance-related concerns or issues.
• Compliance incident investigation: The process of gathering and analyzing information to determine the cause of a compliance incident and identify any contributing factors.
• Compliance incident management audit: A review or examination of an organization’s compliance incident management process, procedures, and controls to ensure they comply with relevant laws, regulations, and standards.
• Compliance incident management corrective action plan: A plan outlining the steps an organization will take to address and correct the cause of a compliance incident and prevent it from happening again.
• Compliance incident management database: A database used to store and track compliance incident management-related information, such as incident reports, investigation findings, and corrective actions.
• Compliance incident management escalation: The process of escalating a compliance incident to higher-level management or regulatory authorities if it is deemed to be significant, severe, or ongoing.
• Compliance incident management incident response checklist: A document or tool that helps organizations ensure compliance with incident response procedures by listing the specific actions and controls that must be in place.
• Compliance incident management incident response drill: A practice or simulation of a compliance incident response scenario to test and evaluate the effectiveness of an organization’s incident response procedures and team.
• Compliance incident management incident response guide: A document or guide outlining the steps and procedures to be followed in responding to a compliance incident, including incident reporting, investigation, resolution, and notification.
• Compliance incident management incident response plan audit: A review or examination of an organization’s incident response plan and related procedures to ensure they are in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan certification: A formal recognition or validation that an organization’s incident response plan meets specific compliance standards or requirements.
• Compliance incident management incident response plan communication: The process of communicating an organization’s incident response plan to relevant parties, such as employees, regulators, and stakeholders.
• Compliance incident management incident response plan compliance: The process of ensuring that an organization’s incident response plan is in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan documentation: The process of documenting an organization’s incident response plan and related procedures, including incident reporting, investigation, resolution, and notification.
• Compliance incident management incident response plan incident drill after action report: A report detailing the results of an incident response plan drill, including strengths, weaknesses, recommendations for improvement, and actions taken to address any identified issues.
• Compliance incident management incident response plan incident drill compliance assessment report: A report detailing the results of an incident response plan compliance assessment through a drill, including strengths, weaknesses, and recommendations for improvement.
• Compliance incident management incident response plan incident drill compliance assessment: The process of assessing an organization’s incident response plan compliance through a drill.
• Compliance incident management incident response plan incident drill compliance audit: A review or examination of an organization’s incident response plan compliance through a drill to ensure they are in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan incident drill compliance certification: A formal recognition or validation that an organization’s incident response plan compliance procedures meet specific standards or requirements through a drill.
• Compliance incident management incident response plan incident drill compliance communication: The process of communicating an organization’s incident response plan compliance procedures through a drill to relevant parties such as employees, regulators, and stakeholders.
• Compliance incident management incident response plan incident drill compliance documentation: The process of documenting an organization’s incident response plan compliance procedures and related information through a drill.
• Compliance incident management incident response plan incident drill compliance gap analysis: The process of identifying gaps in an organization’s incident response plan compliance procedures through a drill and determining steps to address them.
• Compliance incident management incident response plan incident drill compliance incident management: The process of managing and responding to a compliance incident using the organization’s incident response plan compliance procedures through a drill.
• Compliance incident management incident response plan incident drill compliance incident resolution: The process of resolving a compliance incident using the organization’s incident response plan compliance procedures through a drill.
• Compliance incident management incident response plan incident drill compliance maintenance: The ongoing process of maintaining and updating an organization’s incident response plan compliance procedures through a drill to ensure they remain effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management incident response plan incident drill compliance management: The process of managing and overseeing an organization’s incident response plan compliance procedures through a drill to ensure they are effective and compliant with relevant laws, regulations, and standards.
• Compliance incident management incident response plan incident drill compliance monitoring and enforcement: The process of monitoring and enforcing an organization’s incident response plan compliance procedures through a drill to ensure they are being followed and adhered to.
• Compliance incident management incident response plan incident drill compliance monitoring: The process of monitoring an organization’s incident response plan compliance through a drill to ensure they are in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan incident drill compliance reporting: The process of reporting on the effectiveness and compliance of an organization’s incident response plan procedures through a drill to relevant parties such as regulators and stakeholders.
• Compliance incident management incident response plan incident drill compliance review: A periodic review of an organization’s incident response plan compliance through a drill to ensure they are still effective and aligned with any laws, regulations, and standards changes.
• Compliance incident management incident response plan incident drill compliance risk assessment: The process of identifying and assessing the potential risks to an organization’s compliance through a drill.
• Compliance incident management incident response plan incident drill compliance testing: The process of evaluating the effectiveness of an organization’s incident response plan compliance through a drill.
• Compliance incident management incident response plan incident drill compliance training: Training provided to employees on an organization’s incident response plan compliance procedures through a drill.
• Compliance incident management incident response plan incident drill compliance update: The process of updating an organization’s incident response plan compliance to reflect any changes in laws, regulations, and standards and improve its effectiveness through a drill.
• Compliance incident management incident response plan incident drill compliance validation: The process of validating that an organization’s incident response plan compliance procedures are working as intended and effectively preventing non-compliance through a drill.
• Compliance incident management incident response plan incident drill debrief: A meeting or discussion following an incident response plan drill to review the results, identify areas of improvement, and make necessary changes to the incident response plan.
• Compliance incident management incident response plan incident drill evaluation: The process of evaluating the results of an incident response plan drill, including strengths, weaknesses, and recommendations for improvement.
• Compliance incident management incident response plan incident drill feedback: Feedback from participants and observers on an incident response plan drill, including areas of improvement, suggestions and best practices.
• Compliance incident management incident response plan incident drill follow-up: The process of following up on the results of an incident response plan drill, including implementation of improvement actions and monitoring of their effectiveness.
• Compliance incident management incident response plan incident drill improvement plan: A plan outlining the steps an organization will take to improve its incident response plan based on the results of a drill.
• Compliance incident management incident response plan incident drill readiness assessment: The process of assessing an organization’s readiness to respond to a compliance incident through a drill.
• Compliance incident management incident response plan incident drill report: A report detailing the results of an incident response plan drill, including strengths, weaknesses, and recommendations for improvement.
• Compliance incident management incident response plan incident drill review: A review of an organization’s incident response plan drill results to identify areas of improvement and make necessary changes to the incident response plan.
• Compliance incident management incident response plan incident drill testing: The process of testing an organization’s incident response plan through simulations or mock scenarios to evaluate its effectiveness and identify areas for improvement.
• Compliance incident management incident response plan incident drill: A practice or simulation of a compliance incident scenario to test and evaluate the effectiveness of an organization’s incident response plan and procedures.
• Compliance incident management incident response plan incident simulation after action report: A report detailing the results of an incident response plan simulation, including strengths, weaknesses, and recommendations for improvement, and actions taken to address any identified issues.
• Compliance incident management incident response plan incident simulation compliance assessment report: A report detailing the results of an incident response plan compliance assessment through a simulation, including strengths, weaknesses and recommendations for improvement.
• Compliance incident management incident response plan incident simulation compliance assessment: The process of assessing an organization’s incident response plan compliance through a simulation.
• Compliance incident management incident response plan incident simulation compliance audit: A review or examination of an organization’s incident response plan compliance through a simulation to ensure they are in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan incident simulation compliance certification: A formal recognition or validation that an organization’s incident response plan compliance procedures meet certain standards or requirements through a simulation.
• Compliance incident management incident response plan incident simulation compliance communication: The process of communicating an organization’s incident response plan compliance procedures through a simulation to relevant parties such as employees, regulators and stakeholders.
• Compliance incident management incident response plan incident simulation compliance documentation: The process of documenting an organization’s incident response plan compliance procedures and related information through a simulation.
• Compliance incident management incident response plan incident simulation compliance gap analysis: The process of identifying gaps in an organization’s incident response plan compliance procedures through a simulation and determining steps to address them.
• Compliance incident management incident response plan incident simulation compliance incident management: The process of managing and responding to a compliance incident through the use of the organization’s incident response plan compliance procedures through a simulation.
• Compliance incident management incident response plan incident simulation compliance incident resolution: The process of resolving a compliance incident through the use of the organization’s incident response plan compliance procedures through a simulation.
• Compliance incident management incident response plan incident simulation compliance maintenance: The ongoing process of maintaining and updating an organization’s incident response plan compliance procedures through a simulation to ensure they remain effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management incident response plan incident simulation compliance management: The process of managing and overseeing an organization’s incident response plan compliance procedures through a simulation to ensure they are effective and compliant with relevant laws, regulations and standards.
• Compliance incident management incident response plan incident simulation compliance monitoring and enforcement: The process of monitoring and enforcing an organization’s incident response plan compliance procedures through a simulation to ensure they are being followed and adhered to.
• Compliance incident management incident response plan incident simulation compliance monitoring: The process of monitoring an organization’s incident response plan compliance through a simulation to ensure they are in compliance with relevant laws, regulations, and standards.
• Compliance incident management incident response plan incident simulation compliance reporting: The process of reporting on the effectiveness and compliance of an organization’s incident response plan procedures through a simulation to relevant parties such as regulators and stakeholders.
• Compliance incident management incident response plan incident simulation compliance review: A periodic review of an organization’s incident response plan compliance through a simulation to ensure they are still effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management incident response plan incident simulation compliance risk assessment: The process of identifying and assessing the potential risks to an organization’s compliance through a simulation.
• Compliance incident management incident response plan incident simulation compliance testing: The process of evaluating the effectiveness of an organization’s incident response plan compliance through a simulation.
• Compliance incident management incident response plan incident simulation compliance training: Training provided to employees on an organization’s incident response plan compliance procedures through a simulation.
• Compliance incident management incident response plan incident simulation compliance update: The process of updating an organization’s incident response plan compliance to reflect any changes in laws, regulations, and standards and improve its effectiveness through a simulation.
• Compliance incident management incident response plan incident simulation compliance validation: The process of validating that an organization’s incident response plan compliance procedures are working as intended and are effective in preventing non-compliance through a simulation.
• Compliance incident management incident response plan incident simulation debrief: A meeting or discussion following an incident response plan simulation to review the results, identify areas of improvement, and make necessary changes to the incident response plan.
• Compliance incident management incident response plan incident simulation evaluation: The process of evaluating the results of an incident response plan simulation, including strengths, weaknesses, and recommendations for improvement.
• Compliance incident management incident response plan incident simulation feedback: Feedback from participants and observers on an incident response plan simulation, including areas of improvement, suggestions and best practices.
• Compliance incident management incident response plan incident simulation follow-up: The process of following up on the results of an incident response plan simulation, including implementation of improvement actions and monitoring of their effectiveness.
• Compliance incident management incident response plan incident simulation improvement plan: A plan outlining the steps an organization will take to improve its incident response plan based on the results of a simulation.
• Compliance incident management incident response plan incident simulation readiness assessment: The process of assessing an organization’s readiness to respond to a compliance incident through a simulation.
• Compliance incident management incident response plan incident simulation report: A report detailing the results of an incident response plan simulation, including strengths, weaknesses, and recommendations for improvement.
• Compliance incident management incident response plan incident simulation review: A review of an organization’s incident response plan simulation results to identify areas of improvement and make necessary changes to the incident response plan.
• Compliance incident management incident response plan incident simulation testing: The process of testing an organization’s incident response plan through simulations or mock scenarios to evaluate its effectiveness and identify areas for improvement.
• Compliance incident management incident response plan incident simulation: A practice or simulation of a compliance incident scenario to test and evaluate the effectiveness of an organization’s incident response plan and procedures.
• Compliance incident management incident response plan maintenance: The ongoing process of maintaining and updating an organization’s incident response plan to ensure it remains effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management incident response plan readiness: The state of being prepared and equipped to effectively respond to a compliance incident.
• Compliance incident management incident response plan review: A periodic review of an organization’s incident response plan to ensure it is still effective and aligned with any changes in laws, regulations and standards.
• Compliance incident management incident response plan review: A periodic review of an organization’s incident response plan to ensure it is still effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management incident response plan testing: The process of testing an organization’s incident response plan through simulations or mock scenarios to evaluate its effectiveness and identify areas for improvement.
• Compliance incident management incident response plan training: Training provided to employees on an organization’s incident response plan, including procedures and protocols for incident reporting, investigation and resolution, and communication.
• Compliance incident management incident response plan training: Training provided to employees on an organization’s incident response plan, including procedures and protocols for incident reporting, investigation, and resolution, and communication.
• Compliance incident management incident response plan update: The process of updating an organization’s incident response plan to reflect any changes in laws, regulations and standards, and to improve its effectiveness.
• Compliance incident management incident response plan update: The process of updating an organization’s incident response plan to reflect any changes in laws, regulations, and standards, and to improve its effectiveness.
• Compliance incident management incident response plan: A plan outlining the steps an organization will take in response to a compliance incident, including the roles and responsibilities of different stakeholders and the communication plan.
• Compliance incident management incident response policy: A written document outlining an organization’s approach for managing and responding to compliance incidents, including roles and responsibilities of different stakeholders, incident reporting procedures, investigation and resolution protocols, and communication plan.
• Compliance incident management incident response procedure: A set of written procedures outlining the specific actions and controls to respond to a compliance incident, including incident reporting, investigation, resolution, and notification.
• Compliance incident management incident response software: A software application that helps organizations manage and track compliance incident response, including incident reporting, investigation, resolution, and notification.
• Compliance incident management incident response team: A team of individuals responsible for identifying, reporting, investigating, and resolving compliance incidents and implementing corrective actions.
• Compliance incident management incident response template: A document template used to report and document compliance incidents, including incident details, investigation findings, and corrective actions.
• Compliance incident management incident response training: Training provided to incident response team members on identifying, reporting, investigating, and resolving compliance incidents and implementing corrective actions.
• Compliance incident management investigation report: A document or report detailing the findings of a compliance incident investigation, including the causes, contributing factors, and recommended corrective actions.
• Compliance incident management metrics: Specific metrics used to measure an organization’s compliance incident management performance, such as incident reporting timeliness, incident investigation completion time, and incident resolution rate.
• Compliance incident management plan: A plan outlining the steps an organization will take in response to a compliance incident, including the roles and responsibilities of different stakeholders and the communication plan.
• Compliance incident management policy: A written document outlining an organization’s approach for managing and responding to compliance incidents, including roles and responsibilities of different stakeholders and a communication plan.
• Compliance incident management procedures: A set of written procedures outlining the specific actions and controls to respond to a compliance incident, including incident reporting, investigation, resolution, and notification.
• Compliance incident management process flow: A visual representation of the steps or stages involved in managing and responding to compliance incidents, including incident reporting, investigation, resolution, and notification.
• Compliance incident management process: A compliance process outlining the steps an organization will take in identifying, reporting, investigating, and resolving compliance incidents.
• Compliance incident management protocol: A set of guidelines or rules outlining the procedures and best practices for managing and responding to compliance incidents.
• Compliance incident management reporting: The process of documenting and communicating compliance incident management-related information to relevant parties, such as regulatory authorities, the management or board of directors, and auditors.
• Compliance incident management review: A periodic review of an organization’s compliance incident management process, procedures, and controls to ensure they are still effective and aligned with any changes in laws, regulations, and standards.
• Compliance incident management software: This application helps organizations manage and track compliance incidents, including incident reporting, investigation, resolution, and notification.
• Compliance incident management system integration: The process of integrating a compliance incident management system with other systems or platforms used by an organization, such as incident management, risk management, or security systems.
• Compliance incident management system: A system or platform used to manage and track compliance incidents, including incident reporting, investigation, resolution, and notification.
• Compliance incident management training: Training provided to employees on how to identify, report, investigate and resolve compliance incidents.
• Compliance incident management workflow: The series of steps or stages involved in managing and responding to compliance incidents, including incident reporting, investigation, resolution, and notification.
• Compliance incident management: The process of identifying, reporting, investigating, and resolving compliance incidents.
• Compliance incident notification: The process of informing relevant parties, such as regulatory authorities, the management or board of directors, and auditors, about a compliance incident.
• Compliance incident register: A document or tool used to record and track compliance incidents, including details such as date, location, type, and resolution.
• Compliance incident reporting: The process of documenting and communicating compliance-related incidents to relevant parties, such as regulatory authorities, management or board of directors, and auditors.
• Compliance incident resolution: The process of addressing and correcting the cause of a compliance incident and implementing measures to prevent it from happening again.
• Compliance incident response plan: A plan outlining the steps an organization will take in response to a compliance incident, including the roles and responsibilities of different stakeholders and the communication plan.
• Compliance incident response: The process of identifying, assessing, and managing compliance incidents, including the implementation of corrective actions and the reporting of incidents to relevant parties.
• Compliance incident: A violation or potential violation of laws, regulations, or standards.
• Compliance Key Performance Indicator (KPI): Specific metrics used to measure an organization’s compliance performance, such as compliance incident rate, compliance training completion rate, and compliance audit passing rate.
• Compliance management plan: A document or tool outlining an organization’s approach for managing and mitigating compliance risks, including specific actions and controls to be implemented.
• Compliance management software: A software application that helps organizations manage and automate compliance-related tasks such as risk assessment, monitoring, and reporting.
• Compliance management system (CMS): A set of policies, procedures, and processes a company puts in place to ensure compliance with relevant laws, regulations, and standards, including regular monitoring and testing, investigations, and enforcement actions.
• Compliance management: The process of identifying, assessing, and managing compliance risks
• Compliance matrix: A document or tool that maps out an organization’s compliance obligations and how they are being met.
• Compliance monitoring: The ongoing process of tracking and verifying compliance with laws, regulations, and standards.
• Compliance officer: An individual responsible for overseeing a company’s compliance program
• Compliance policy: A written document outlining a company’s compliance-related rules, procedures, and guidelines.
• Compliance program: A set of policies, procedures, and processes a company puts in place to ensure compliance with relevant laws, regulations, and standards
• Compliance remediation: The process of addressing and correcting compliance incidents and issues.
• Compliance reporting: The process of documenting and communicating compliance-related information to relevant parties, such as regulatory authorities, management or board of directors, and auditors.
• Compliance review: A systematic examination of an organization’s compliance program and controls to identify areas of improvement or non-compliance.
• Compliance risk: The potential for an organization to suffer harm, financial loss, or reputational damage due to non-compliance with laws, regulations, or standards.
• Compliance scorecard: A document or tool that tracks and measures an organization’s compliance performance against established metrics and standards.
• Compliance self-assessment: The process of evaluating an organization’s compliance program and controls against relevant laws, regulations, and standards through self-review and self-evaluation.
• Compliance standard: A set of guidelines or rules that an organization must meet to comply with a particular regulation or law.
• Compliance strategy: An organization’s overall plan and approach to managing and mitigating compliance risks.
• Compliance testing: The process of evaluating the effectiveness of a company’s compliance controls and procedures through various means such as audits, inspections, reviews, and mock scenarios.
• Compliance training: Training provided to employees to help them understand and adhere to laws, regulations, and standards
• Compliance training: Training provided to employees to help them understand and adhere to laws, regulations, and standards.
• Compliance validation: The process of evaluating and verifying that an organization’s compliance controls and procedures are working as intended and effectively preventing non-compliance.
• Compliance: The act of adhering to a set of rules or standards
• Corporate compliance: Adherence to a company’s own internal policies and procedures
• Cybersecurity compliance: Adherence to laws and regulations related to the protection of sensitive data, such as the Health Insurance Portability and Accountability Act (HIPAA) and the Payment Card Industry Data Security Standard (PCI DSS)
• Data privacy compliance: Adherence to laws and regulations related to the protection of personal data, such as the General Data Protection Regulation (GDPR) and the California Consumer Privacy Act (CCPA)
• DOL compliance (Department of Labor): Adherence to laws and regulations related to labor and employment, such as those enforced by the U.S. Department of Labor
• Due diligence: The process of investigating and verifying information to ensure compliance with laws, regulations, and standards
• EAR compliance (Export Administration Regulations): Adherence to laws and regulations related to the export of dual-use items and technologies, such as those enforced by the U.S. Department of Commerce.
• Environmental compliance: Adherence to laws and regulations related to environmental protection, such as the Clean Air Act and the Clean Water Act
• EPA compliance (Environmental Protection Agency): Adherence to laws and regulations related to environmental protection, such as those enforced by the U.S. Environmental Protection Agency
• Ethics compliance: Adherence to laws and regulations related to ethical conduct and corporate governance, such as the Foreign Corrupt Practices Act (FCPA)
• FDA compliance (Food and Drug Administration): Adherence to laws and regulations related to the safety and efficacy of food and drugs, such as those enforced by the U.S. Food and Drug Administration
• FERPA compliance (Family Educational Rights and Privacy Act): Adherence to laws and regulations protecting student educational records, such as the Family Educational Rights and Privacy Act of 1974.
• FINRA compliance (Financial Industry Regulatory Authority): Adherence to rules and regulations set by the Financial Industry Regulatory Authority for firms and individuals in the securities industry
• FISMA compliance (Federal Information Security Modernization Act): Adherence to laws and regulations related to the protection of sensitive information, such as the Federal Information Security Modernization Act of 2014
• GDPR compliance (General Data Protection Regulation): Adherence to laws and regulations related to protecting personal data, such as the General Data Protection Regulation of the European Union.
• GLBA compliance (Gramm-Leach-Bliley Act): Adherence to laws and regulations related to the protection of personal financial information, such as the Gramm-Leach-Bliley Act of 1999
• HIPAA compliance (Health Insurance Portability and Accountability Act): Adherence to laws and regulations related to the protection of personal health information, such as the Health Insurance Portability and Accountability Act of 1996
• In summary, compliance incident management is a critical process that organizations must have in place to ensure they are in compliance with relevant laws, regulations, and standards. It includes a combination of prevention, detection, response, recovery, investigation, reporting, and notification efforts. Organizations must continuously review and update their compliance incident management strategy to ensure that it is effective and aligned with changing laws, regulations, and standards.
• Industry compliance: Adherence to standards and guidelines set by industry organizations
• ISO 27001 Compliance: Adherence to an international standard for information security management systems (ISMS)
• ITAR compliance (International Traffic in Arms Regulations): Adherence to laws and regulations related to the export of defense-related articles and services, such as those enforced by the U.S. Department of State
• KYC compliance (Know Your Customer): The process of verifying the identity of customers and assessing potential money laundering or terrorist financing risks
• KYT compliance (Know Your Transaction): Adherence to laws and regulations related to suspicious activity monitoring and reporting, such as those established by the Financial Crimes Enforcement Network (FinCEN).
• NIST compliance (National Institute of Standards and Technology): Adherence to guidelines and standards set by the National Institute of Standards and Technology for information security and other technology-related issues.
• NLRB compliance (National Labor Relations Board): Adherence to laws and regulations related to labor relations and collective bargaining, such as those enforced by the National Labor Relations Board.
• OFAC compliance (Office of Foreign Assets Control): Adherence to laws and regulations related to economic sanctions and trade embargoes, such as those enforced by the U.S. Office of Foreign Assets Control
• OFAC compliance (Office of Foreign Assets Control): Adherence to laws and regulations related to economic sanctions and trade embargoes, such as those enforced by the U.S. Office of Foreign Assets Control.
• OSHA compliance (Occupational Safety and Health Administration): Adherence to laws and regulations related to workplace safety, such as the Occupational Safety and Health Act of 1970.
• Overall, compliance incident management is an ongoing process that requires constant attention and dedication to ensure that an organization is in compliance with all relevant laws, regulations, and standards. It’s also a process that requires collaboration between different departments and functions within the organization, including legal, compliance, risk management, and IT.
• Patriot Act compliance: Adherence to laws and regulations related to anti-money laundering and countering the financing of terrorism, such as the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001.
• PCI DSS compliance (Payment Card Industry Data Security Standard): Adherence to security standards for companies that handle credit card information established by the Payment Card Industry Security Standards Council.
• PII compliance (Personally Identifiable Information): Adherence to laws and regulations protecting personal information, such as name, address, social security number, etc.
• Regulatory compliance: Adherence to laws and regulations set by government agencies
• Risk assessment: The process of identifying and evaluating potential risks to a company’s compliance with laws, regulations, and standards.
• Ron Legarski Compliance Official: Compliance Documentation Organization.
• Sanctions compliance: Adherence to laws and regulations related to economic sanctions imposed by government agencies.
• SEC compliance (Securities and Exchange Commission): Adherence to laws and regulations related to the securities industry, such as those enforced by the U.S. Securities and Exchange Commission
• SOC 2 compliance: Adherence to a standard for evaluating a service organization’s controls related to security, availability, processing integrity, confidentiality, and privacy.
• SOX compliance (Sarbanes-Oxley Act): Adherence to laws and regulations related to financial reporting and internal controls, such as the Sarbanes-Oxley Act of 2002.

It is also essential for organizations to have a clear incident response plan that outlines the steps that need to be taken in the event of a compliance incident. This plan should include procedures for identifying and reporting incidents, incident response procedures, and procedures for investigating and resolving incidents. It should also include communication strategies with relevant parties such as employees, customers, and regulators.

Finally, compliance incident management also includes learning from incidents and making improvements to prevent similar incidents from occurring in the future. This includes conducting thorough investigations, identifying root causes, and implementing corrective and preventive actions. It also includes regularly reviewing and updating policies, procedures, and controls to ensure they are effective and aligned with changing laws, regulations, and standards.