Compliance & Ethics Glossary

A plain-language reference for compliance officers, HR teams, and anyone building an ethics program.

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A

Abuse of Dominance

Actual Conflict

Adequate Procedures Defense

Affirmative Defense

Age Discrimination in Employment Act (ADEA)

Americans with Disabilities Act (ADA)

Anti-Bribery Management Control Systems

Anti-Corruption Contract Clause

Anti-Harassment Policy

Anti-Retaliation Safeguards

Antitrust Safe Harbor

Attestation and Certification

Audit Findings Remediation

B

BSA/AML Compliance Officer

Barriers to Entry

Behavioral Expectations

Beneficial Ownership Verification

Blackout Period

Board Oversight of Compliance

Board Reporting Cadence

Books and Records

Bribe Solicitation

Business Ethics Program

Business Partner Due Diligence

Business Partner Screening

C

Certification of Compliance

Chapter 8 Sentencing of Organizations

Charitable Contributions Screening

Civil Rights Act

Classical Theory of Insider Trading

Collection Limitation Principle

Communicate-P Function

Competitor Collaboration Guidelines

Compliance Audit Plan

Compliance Charter

Compliance Committee

Compliance Culture Survey

Compliance Function Independence

Compliance Function Structure

Compliance Governance Structure

Compliance Obligations Register

Compliance Program Maturity

Compliance Representations and Warranties

Computer-Based Training

Concerted Action

Confidential Reporting

Conflict Management Plan

Conflict Resolution Standards

Conflict Screening

Conflict of Interest Disclosure

Conflict of Interest Register

Constructive Discharge

Constructive Insider

Contractual Compliance Clauses

Control-P Function

Corporate Enforcement Policy

Corporate Insider

Correspondent Banking Risk

Corruption Risk Mapping

Culpability Score

D

DOJ Corporate Whistleblower Awards Pilot Program

DOJ Criminal Division Guidance

Data Analytics for Monitoring

Data Analytics in Compliance

Data Quality Principle

Data Retention Schedule

Detrimental Action

Disbursement Controls

Disparate Treatment

Diversity, Equity and Inclusion

Divided Loyalty

Document Preservation

Dodd-Frank Whistleblower Provisions

Due Diligence to Prevent and Detect Criminal Conduct

Duty to Disclose or Abstain

E

EHS Management System

Electronic Records Management

Emissions Monitoring

Employee Handbook

Environmental Compliance Audit

Environmental Impact Assessment

Environmental Permitting

Equal Employment Opportunity

Escalation Framework

Ethical Dilemma Scenarios

Ethics Ambassadors

Ethics Policy Framework

Ethics Training Curriculum

Exclusive Dealing

Extraterritorial Jurisdiction

F

Federal Sentencing Guidelines for Organizations

Federal Trade Commission Act

Financial Crimes Enforcement Network

Financial Misstatement

Foreign Official

G

Ghost Employee Scheme

Gift Acceptance Threshold

Gifts and Hospitality

Good Practice Guidance on Internal Controls

Good-Faith Reporting

Govern-P Function

Grand Corruption

H

Harassing Conduct

Harassment Prevention Program

Harassment Reporting Procedure

Hart-Scott-Rodino Act

Hazard Communication

Horizontal Restraint

Hostile Work Environment

J

Job Hazard Analysis

K

Knowledge Assessment

L

Legal and Regulatory Mapping

Leniency Program

Lessons Learned Integration

M

M&A Due Diligence

Management Override of Controls

Market Allocation

Market Definition

Material Nonpublic Information

Metrics Dashboard

Misappropriation Theory

Monitoring and Auditing

Most-Favored-Nation Clause

N

Near-Miss Reporting

Nested Accounts

No-Poach Agreement

O

OECD Anti-Bribery Recommendation

OECD Privacy Guidelines

Occupational Exposure Limit

Occupational Safety and Health Act

Office of Foreign Assets Control

Ongoing Monitoring of Transactions

Outside Business Activities

Q

Quarterly Blackout Period

Quid Pro Quo Harassment

T

Targeted Training

Testing and Monitoring Plan

Third-Party Harassment

Third-Party Intermediaries

Third-Party Lifecycle Management

Tiered Due Diligence

Total Recordable Incident Rate

Trading Pre-Approval

Training Completion Rates

Training Effectiveness Measurement

Training Needs Assessment

Transaction Testing

Transborder Data Flow

Tying Arrangements

U

Unwelcome Conduct

Use Limitation Principle

V

Values-Based Decision Framework

Vendor Code of Conduct

Vendor Relationship Disclosure

Vertical Restraint

W

Wage-Fixing Agreement

Web Intake Form

Whistleblower Confidentiality

Whistleblower Protection Act

Whistleblower Tip Line

Wire Transfer Recordkeeping

Workplace Investigation

Workplace Safety Training