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compliance department

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Compliance Department
The department within a brokerage firm that oversees the trading and market-making activities of the firm.

Notes:
It ensures that the employees and officers of the firm are abiding by the rules and regulations of the SEC.

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
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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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.
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Van Bibber has been retained by DSI to consult with the company and its legal compliance department on electronic signatures.
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Before publishing or distributing any materials, agents should submit them to the insurer's compliance department for approval.
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