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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. How to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content. |
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In May 2004, Schnitzer's compliance department reportedly uncovered the improper payments and began investigating the potential violations of the Foreign Corrupt Practices Act of 1977. Van Bibber has been retained by DSI to consult with the company and its legal compliance department on electronic signatures. Before publishing or distributing any materials, agents should submit them to the insurer's compliance department for approval. |
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