The compliance function, today a cornerstone of the control system in place within financial services providers, acts as an «instant legislator» that produces norms when legal or regulatory texts do not match practical contexts faced by market operators. Compliance officers can be described as...

L'article présente le document publié par le Comité de Bâle, redéfinissant le champ de la fonction "compliance".

The research aims at studying the compliance of financial practices, the body of rules applicable to financial market participants. It studies the compliance function, a cornerstone of the compliance control system in place within financial services providers. Through this function, we highlight...