compliance department

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.
References in periodicals archive ?
A "How To Complain" pack is also available by writing to the Legal and Compliance Department, Trinity Mirror PLC, One Canada Square, Canary Wharf, London E14 5AP.
A How To Complain pack is also available by writing to the Legal and Compliance Department, Trinity Mirror PLC, One Canada Square, London E14 5AP.
As evidenced by the independent compliance monitor established as part of this 2012 settlement with the World Bank, Alstom has further enhanced the design and implementation of its compliance program over the past three years under the guidance of the ICO, Alstom's Ethics & Compliance Department and the monitor.
A "How To Complain" pack is also available by writing to the Legal and Compliance Department, Trinity Mirror PLC, One Canada Square, Canary Wharf, London E14 5AP Corrections & clarifications If we have published anything that is factually inaccurate, please contact Alan Edmunds on 029 2024 4747, at alan.
This includes the hiring of new personnel in the compliance department and a reorganization of its compliance structure.
She was then promoted to vice president of occupancy and compliance, and has served as the company's primary trainer and Fair Housing officer while supervising the management of Compliance Department personnel.
I will talk to my compliance department and put a special case forward that would waive the annual fee and the security deposit.
Global Banking News-September 18, 2013--JPMorgan compliance department expanded(C)2013 ENPublishing - http://www.
The Health System compliance department performs periodic surprise and scheduled inspections of health institutes, Dr Mohammad Bader Al Seiari, Director of Health System Compliance at Haad, said.
ISLAMABAD, November 17, 2011 (Balochistan Times): The Securities and Exchange Commission of Pakistan (SECP) has changed the name of its Registration Department to Corporatization and Compliance Department.
ISLAMABAD, November 17, 2011 (Frontier Star): The SECP has changed the name of its Registration Department to 'Corporatization and Compliance Department.
We all have very, very careful procedures," said Garrett Moran, chief operating officer of the private equity group at Blackstone Group LP "You just don't do a trade unless you ask your compliance department in advance.

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