Exchange Currency

compliance department

The department within a brokerage or stock exchange that oversees trading and other activities to ensure that SEC regulations are being adhered to. also called compliance unit.

Related information about compliance department:
  1. Compliance Department Definition | Investopedia
    The department or unit within a brokerage firm, bank or financial institution that ensures compliance with all applicable laws, rules and regulations.
     
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  3. What is a Compliance Department?
    A compliance department is part of a brokerage or stock exchange that makes sure all transactions are conducted according to the...
     
  4. What is compliance department? definition and meaning
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  6. Compliance Department - Financial Dictionary - The Free Dictionary
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  7. Code Compliance | AustinTexas.gov - The Official Website of the ...
    City codes and ordinances have been created to protect the health, safety, and quality of life for the citizens of Austin. Code Compliance investigates reports of ...
     
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    about us, corporate compliance, legal, rules, regulations, guidelines, standards, policies, code, Hackensack, NJ.