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"HowTo Complain"pack is also available by writing to the Legal and Compliance Department, Trinity Mirror PLC, One Canada Square, CanaryWharf, 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, Canary Wharf, London E14 5AP.
The compliance department assumed the worst of the advisor, siding with the heirs in their complaint stance.
NNA - Executive Director of the Compliance Department of the Special Inquiry Committee, Tarek Zahran, told a UN forum in Vienna that "Lebanese law enforcement forces battled with utmost effectiveness against the funding of Daech and the terrorist groups affiliated to it.
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.
We adhere to the Editors' Code Of Practice as enforced by IPSO, which is 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.
In the new position, Burdelski will lead the company's compliance department in reviewing and evaluating compliance issues and concerns, ensuring that the board of directors, management, and employees meet the high legal expectations of growing public companies.
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.
By teaming with operations, the company can enjoy a compliance department that develops training and policies that protect the company from violations while also being in tune with local operational needs.
This includes the hiring of new personnel in the compliance department and a reorganization of its compliance structure.
A member of the Managing Board since October 2007, Solmssen has served as General Counsel and head of the Legal and Compliance Department.
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.

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