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:
- 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.
- The Compliance Department, Inc - Home
The Compliance Department Inc. specializes in providing Compliance out sourcing services to securities broker-dealers and investment advisors as well as ...
- 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...
- What is compliance department? definition and meaning
Definition of compliance department: The department within a brokerage or stock exchange that oversees trading and other activities to ensure that SEC ...
- Department of Code Compliance - Fairfax County, Virginia
The Department of Code Compliance investigates most neighborhood quality of life complaints in the county, including parking in the grass, junk in the yard, too ...
- Compliance Department - Financial Dictionary - The Free Dictionary
A department in all organized stock exchanges to ensure that all companies, traders, and brokerage firms comply with Securities and Exchange Commission ...
- 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 ...
- Corporate Compliance Department - About Us | Hackensack ...
about us, corporate compliance, legal, rules, regulations, guidelines, standards, policies, code, Hackensack, NJ.