surveillance department

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Surveillance Department

A department on an exchange charged with enforcing the rules of the exchange as well as applicable regulations and ethics. It monitors trading on a daily basis in order to accomplish this.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

surveillance department

The division of a securities exchange charged with ensuring that individuals associated with the exchange operate in an ethical manner and according to established regulations.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
References in periodicals archive ?
Various surveillance departments keep an eye on the working of NGOs specifically when they are of some foreign origin.
From the Central Bank of Oman; Mr Bader Khalid Al-Aghbari, Vice President, Financial Services and Operations, Mr Rashid Zayid Al Ghassani, Senior Manager, Banking Examination and Surveillance Departments, Mr Mazin Hamed Al Riyami, Economist, Economic Research and Statistics Department, and Mr Salim Hamed Al Khanbashi, Assistant Manager, Executive President's Office were also present.
The new department will handle all Islamic banking matters, though the existing examination and surveillance departments will continue their supervision of banks.
The homeland security and city surveillance departments are using these storage systems for analysis and monitoring.
The new National Security is headed by General Hamed Abdallah and comprises sectors for protecting freedom of religion, human rights, fighting internal and external terrorism, hostage rescue and surveillance departments for foreign and Arab activities.
As today's gaming properties face an expanding level of external and internal cheating, theft, and fraud, the demands placed upon security and surveillance departments increase daily.
The casino has reinforced its bars, stepped up armed bike patrols, and increased coordination between the security and surveillance departments.
Most investigations require a close working relationship between the security and surveillance departments, as well as outside agencies such as local law enforcement.
The Rio's surveillance department reports directly to the general manager and board of directors of the Rio, with additional regulatory control by the Nevada State Gaming Control Board (GCB).
Then the surveillance department obtained information that a table cheque scam was occurring at one of the blackjack tables involving the dealer, a table games floorman, and an outside agent.

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