Compliance Department
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Compliance department

A department in all organized stock exchanges to ensure that all companies, traders, and brokerage firms comply with Securities and Exchange Commission and exchange rules and regulations.

Compliance Department

A department in a brokerage with the duty of ensuring that all trades comply with applicable laws and SEC regulations. A compliance department oversees employees and principals of the brokerage and monitors their activities. It must also investigate suspicious activity and, if necessary, report it to the appropriate authority.

compliance department

Securities exchange staff who are charged with ensuring that activity on the exchange complies with the rules of the exchange and those of the SEC.

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Compliance Department (redirected from Compliance Departments)

Compliance Department
(redirected from Compliance Departments)