| No. | Item | Definition |
|---|---|---|
| 1. | access control | limits on system or data access |
| 2. | accountability | responsibility for actions and outcomes |
| 3. | allegation | claim of wrongdoing not proven |
| 4. | assurance | confidence based on review |
| 5. | attestation | formal statement of truth |
| 6. | audit | independent review of records |
| 7. | authentication | verifying identity before access |
| 8. | authorization | official approval to act |
| 9. | beneficial ownership | true person owning or controlling |
| 10. | best practice | widely accepted effective method |
| 11. | bid rigging | collusion to fix bidding |
| 12. | bribery | offering value to influence |
| 13. | certification | official confirmation of compliance |
| 14. | code | systematic set of rules |
| 15. | compliance | following laws, rules, and policies |
| 16. | confidentiality | keeping information secret |
| 17. | conflict of interest | competing personal and work interests |
| 18. | control | measure to reduce risk |
| 19. | corrective action | step to fix a problem |
| 20. | corruption | abuse of power for gain |
| 21. | deficiency | control weakness or shortfall |
| 22. | deviation | departure from expected standard |
| 23. | discipline | corrective punishment for misconduct |
| 24. | disclosure | making information known formally |
| 25. | discrimination | unfair treatment based on traits |
| 26. | disposition | final handling of a case |
| 27. | documentation | written records and evidence |
| 28. | due diligence | reasonable investigation before action |
| 29. | enforcement | ensuring rules are obeyed |
| 30. | escalation | raising issue to higher level |
| 31. | ethics | moral principles guiding conduct |
| 32. | evidence | information proving a fact |
| 33. | exception | approved departure from rule |
| 34. | exemption | freedom from a requirement |
| 35. | export control | rules on sending goods abroad |
| 36. | facilitation payment | small bribe to speed action |
| 37. | finding | issue identified during review |
| 38. | forgery | false making of document |
| 39. | framework | structured system for managing work |
| 40. | fraud | intentional deception for gain |
| 41. | governance | system of oversight and direction |
| 42. | guidance | official advice on compliance |
| 43. | harassment | unwanted conduct creating hostility |
| 44. | hotline | reporting channel for concerns |
| 45. | incident | event requiring response or review |
| 46. | insider trading | trading on nonpublic information |
| 47. | inspection | official examination for compliance |
| 48. | investigation | formal inquiry into suspected issues |
| 49. | jurisdiction | area of legal authority |
| 50. | kickback | secret payment for favor |
| 51. | KYC | customer identity verification process |
| 52. | least privilege | minimum access needed only |
| 53. | liability | legal responsibility for harm |
| 54. | mandate | authoritative command or requirement |
| 55. | market abuse | improper conduct affecting markets |
| 56. | materiality | importance significant to decisions |
| 57. | misconduct | improper or unethical behavior |
| 58. | mitigation | reducing likelihood or impact |
| 59. | money laundering | hiding criminal money origins |
| 60. | monitoring | ongoing review of activities |
| 61. | noncompliance | failure to meet requirements |
| 62. | obligation | duty imposed by rule |
| 63. | obstruction | blocking an inquiry or process |
| 64. | offboarding | removing party from system |
| 65. | onboarding | bringing party into system |
| 66. | oversight | supervision to ensure proper conduct |
| 67. | PEP | politically exposed person |
| 68. | policy | internal rule or guiding principle |
| 69. | preventive action | step to stop recurrence |
| 70. | privacy | control over personal information |
| 71. | procedure | set way of doing task |
| 72. | procurement | acquiring goods or services |
| 73. | prohibition | formal ban on conduct |
| 74. | protocol | established procedure for actions |
| 75. | recordkeeping | maintaining required records |
| 76. | regulation | official rule issued by authority |
| 77. | remediation | correcting a problem or weakness |
| 78. | reporting | providing required information formally |
| 79. | requirement | something that must be met |
| 80. | retaliation | punishment for reporting concerns |
| 81. | retention | keeping records for period |
| 82. | risk | possibility of harm or loss |
| 83. | sampling | testing part of a population |
| 84. | sanction | penalty for noncompliance |
| 85. | sanctions screening | checking names against sanctions |
| 86. | security | protection against threats or loss |
| 87. | segregation of duties | splitting tasks to prevent abuse |
| 88. | statute | law passed by legislature |
| 89. | suspension | temporary removal from duties |
| 90. | termination | ending employment or contract |
| 91. | terrorist financing | funding terrorism or extremists |
| 92. | testing | checking whether control works |
| 93. | third party | outside person or organization |
| 94. | threshold | level triggering action or rule |
| 95. | training | instruction to build competence |
| 96. | verification | confirming accuracy or truth |
| 97. | violation | breach of a rule |
| 98. | waiver | formal release from requirement |
| 99. | watchlist | list needing closer scrutiny |
| 100. | whistleblowing | reporting wrongdoing to authority |
