The 18 reference contexts in paper MAKAROVYCH (2016) “Комплаєнс – управління ризиками факторингового бізнесу: контрольні аспекти // COMPLIANCE AS FACTORING BUSINESS RISK MANAGEMENT: CONTROL ASPECTS” / spz:ztu:ven:66353

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    Nowadays, various risk management technologies and methodologies are offered but among all of them the system of risk management on the base of the compliance technology deserves of special attention. Analysis of the latest research and publications. The problems of risk management of factoring operations were researched by such scientists as L.M. Zayemа
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    , L.М. Kozhynа [6], І.М. Тravish [9], А.М. Shanina [12], N.Dimitris [13] and others. It’s necessary to indicate that a lot of aspects concerning the factoring business risk management are debatable and require detailed learning.
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    3210
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    various risk management technologies and methodologies are offered but among all of them the system of risk management on the base of the compliance technology deserves of special attention. Analysis of the latest research and publications. The problems of risk management of factoring operations were researched by such scientists as L.M. Zayemа [3], L.М. Kozhynа
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    [6]
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    , І.М. Тravish [9], А.М. Shanina [12], N.Dimitris [13] and others. It’s necessary to indicate that a lot of aspects concerning the factoring business risk management are debatable and require detailed learning.
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    3229
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    Analysis of the latest research and publications. The problems of risk management of factoring operations were researched by such scientists as L.M. Zayemа [3], L.М. Kozhynа [6], І.М. Тravish
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    [9]
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    , А.М. Shanina [12], N.Dimitris [13] and others. It’s necessary to indicate that a lot of aspects concerning the factoring business risk management are debatable and require detailed learning. Compliance is the research object for many scientists in different fields, but its role and place particularly in the factoring business risk management are not learned enough.
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    3247
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    Analysis of the latest research and publications. The problems of risk management of factoring operations were researched by such scientists as L.M. Zayemа [3], L.М. Kozhynа [6], І.М. Тravish [9], А.М. Shanina
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    [12]
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    , N.Dimitris [13] and others. It’s necessary to indicate that a lot of aspects concerning the factoring business risk management are debatable and require detailed learning. Compliance is the research object for many scientists in different fields, but its role and place particularly in the factoring business risk management are not learned enough.
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    3264
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    Analysis of the latest research and publications. The problems of risk management of factoring operations were researched by such scientists as L.M. Zayemа [3], L.М. Kozhynа [6], І.М. Тravish [9], А.М. Shanina [12], N.Dimitris
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    and others. It’s necessary to indicate that a lot of aspects concerning the factoring business risk management are debatable and require detailed learning. Compliance is the research object for many scientists in different fields, but its role and place particularly in the factoring business risk management are not learned enough.
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    It is known that the risk is the result of situation uncertainty, that is, there is inexact or incomplete information about the meaning of various scenarios connected with the future period of time, about the conditions of realization of concrete management decisions and the expenditures that arise during this process
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    . This uncertainty may be caused by chances, the shortage of information, psychological peculiarities of individuals who take these managerial decisions. It should be mentioned that the uncertainty in the development of events which are supposed to come in the future and inability of precise expectation and complete awareness of all the circumstances of the factoring company’s acti
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    Compliance is considered as the observance of laws, regulations and standards of a factoring company and as a whole it includes such matters as the necessary accomplishment of market behavior standards, the management of conflict of interests, fair treatment with clients and fulfilment of their desires
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    [14, р. 101]
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    . © V.K. Makarovych, 2016 The term Compliance when translated from English means the correspondence to any demands or standards, external and internal [7]. The concept of compliance was borrowed from The USA Law «About corruption activity abroad» and similar laws of other countries [5, p. 23].
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    company and as a whole it includes such matters as the necessary accomplishment of market behavior standards, the management of conflict of interests, fair treatment with clients and fulfilment of their desires [14, р. 101]. © V.K. Makarovych, 2016 The term Compliance when translated from English means the correspondence to any demands or standards, external and internal
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    [7]
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    . The concept of compliance was borrowed from The USA Law «About corruption activity abroad» and similar laws of other countries [5, p. 23]. Under the term they understand all the actions which the entities of law are bound to carry out according to the demands of the present legislation in a whole.
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    Makarovych, 2016 The term Compliance when translated from English means the correspondence to any demands or standards, external and internal [7]. The concept of compliance was borrowed from The USA Law «About corruption activity abroad» and similar laws of other countries
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    [5, p. 23]
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    . Under the term they understand all the actions which the entities of law are bound to carry out according to the demands of the present legislation in a whole. Voloshenko А.V. [1, p. 405] researches compliance as a preventive system of struggle methods against corruption.
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    The concept of compliance was borrowed from The USA Law «About corruption activity abroad» and similar laws of other countries [5, p. 23]. Under the term they understand all the actions which the entities of law are bound to carry out according to the demands of the present legislation in a whole. Voloshenko А.V.
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    [1, p. 405]
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    researches compliance as a preventive system of struggle methods against corruption. Haritonov М. [10] examines the concept of compliance from three sides (fig. 1): Fig. 1. Essence of the concept of compliance according to Haritonov М. [10] Donilin O. considers compliance as the principle of conducting business by a factoring company in accordance to the
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    6261
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    Under the term they understand all the actions which the entities of law are bound to carry out according to the demands of the present legislation in a whole. Voloshenko А.V. [1, p. 405] researches compliance as a preventive system of struggle methods against corruption. Haritonov М.
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    examines the concept of compliance from three sides (fig. 1): Fig. 1. Essence of the concept of compliance according to Haritonov М. [10] Donilin O. considers compliance as the principle of conducting business by a factoring company in accordance to the applicable legislation, regulations, codes and standards, constituted competent authority, professional ass
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    Voloshenko А.V. [1, p. 405] researches compliance as a preventive system of struggle methods against corruption. Haritonov М. [10] examines the concept of compliance from three sides (fig. 1): Fig. 1. Essence of the concept of compliance according to Haritonov М.
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    Donilin O. considers compliance as the principle of conducting business by a factoring company in accordance to the applicable legislation, regulations, codes and standards, constituted competent authority, professional assosiations and internal documents of this organization [2].
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    6707
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    Essence of the concept of compliance according to Haritonov М. [10] Donilin O. considers compliance as the principle of conducting business by a factoring company in accordance to the applicable legislation, regulations, codes and standards, constituted competent authority, professional assosiations and internal documents of this organization
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    [2]
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    . Tsyutsyak A.L. states that compliance foresees the observance of laws, the ethics of conducting business and corporate compliance program [11] and examines compliance as the process of compliance risk management.
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    of conducting business by a factoring company in accordance to the applicable legislation, regulations, codes and standards, constituted competent authority, professional assosiations and internal documents of this organization [2]. Tsyutsyak A.L. states that compliance foresees the observance of laws, the ethics of conducting business and corporate compliance program
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    and examines compliance as the process of compliance risk management. Ukrainian legislation has confirmed the concept of compliance risk for bank activities, namely by the decree of NBU No 98 of 28.03.2007.
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    Inability to foresee the influence of improper actions of organization officers may result in negative social resonance and do harm to the organization reputation even if demands of the Ukrainian legislation were not broken
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    . According to the research results of scientific sources we consider compliance to be the risk management process directed to free will correspondence to state, international legislation as well as to the ethics standards adopted in the field of regulated legal relations and to the traditions of business circulation to sustain the necessary regu
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    of compliance control, for example: - investment which regulate the problems of «right» and «fair» sale of investment products; - tax which regulate the problems of maximum observance of tax legislation; - client which regulate the problems of fair treatment to clients (Treat Customer Fairly); - credit which regulate the problems of fair crediting (Fair Lending Policy) and others
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    . As it is already known that the risk management system includes the following actions connected with: - «detection» – the ability to identify risks; - «prevention» – the control of risks; - «reaction» – the ability to react and act in concrete situations correctly [4].
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    As it is already known that the risk management system includes the following actions connected with: - «detection» – the ability to identify risks; - «prevention» – the control of risks; - «reaction» – the ability to react and act in concrete situations correctly
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    . The purpose of any functions compliance control is maximal removal of possibilities of any risk appearing or minimization of its effect. Taking into account the essence of compliance, the compliance control expects: - finding and assessment of compliance risks connected with the factoring company activity, and the regular assessment of a level of such risks; - supplying the authority wi
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    As a result of such inspections and investigations a business company controls itself independently assisting to stop corruption and other breaches of corporation regulations set up
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    [1, p. 406]
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    . The development of compliance control effective system in a factoring company is based on the identification of compliance risks, where their correct assessment determines further result of such program realization in an action.
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