ABM: Concepts and Practice · Part D: Compliance and Corporate Governance

Chapter 20: The compliance function

What compliance means for a bank: the policy and programme, the CCO’s role, and the governance behind it.

Open Chapter 20 in the e-book The book and its prices

Buyers of the e-book, or of the print copy, which includes it, read the whole chapter. Everyone can read the free sample, pages 1 to 24 of the e-book.

In this chapter

20.1What compliance meansp. 269
20.2Compliance policy and programmep. 270
20.3The chief compliance officerp. 271
20.4The compliance governance structurep. 272
20.5Internal controlsp. 273
Exam traps and quick checksp. 274
Practice: 16 questions in three roundsp. 275
Answers, with every wrong option explainedp. 277
Make it stickp. 279
Chapter 20 on one pagep. 280

Corrections and updates

None for this chapter so far. Every correction to the book, and any rule that changes after its date, is listed on the errata page.