Glossary Terms > Compliance (1 entry)

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  • What does the term Compliance program mean?
    Written systematic procedures instituted by an organization to ensure that the provisions of the regulations imposed by a government agency are being met. Vickery Creek has such written supervisory ...

Sources of definitions:

FINRA website, investor words . com, US Legal definitions, MSRB website, dictionary . com, SEC website

Vickery Creek Capital Management is not responsible for the accuracy of the definitions herein; this glossary is intended to assist clients and prospective clients in better understanding financial and investment terms.  It is the responsibility of the individual to fully understand the specifics associated with investment terms that relate to their situation.