Compliance Department

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

The compliance department ensures that the employees and officers of the firm are abiding by the rules and regulations of the Securities and Exchange Commission.

Investment dictionary. . 2012.

Игры ⚽ Поможем решить контрольную работу

Look at other dictionaries:

  • compliance department — A department in all organized stock exchanges ( organized exchange) to ensure that all companies, traders, and brokerage firms comply with Securities and Exchange Commission and exchange rules and regulations. Bloomberg Financial Dictionary …   Financial and business terms

  • compliance department — /kəm plaɪəns dɪˌpɑ:tmənt/ noun a department in a stockbroking firm which makes sure that the Stock Exchange rules are followed and that confidentiality is maintained in cases where the same firm represents rival clients …   Dictionary of banking and finance

  • Compliance requirements — are a series of directives established by United States Federal government agencies that summarize hundreds of Federal laws and regulations applicable to Federal assistance (also known as Federal aid or Federal funds). They are currently… …   Wikipedia

  • Department of EMS, City of Virginia Beach — The Department of EMS, City of Virginia Beach (VBEMS) is the primary pre hospital emergency ambulance transport agency servicing 433,746 people plus tourists in an area of 310 square miles (800 km2),258.7 square miles (670 km²) land, 51 …   Wikipedia

  • Compliance (psychology) — Compliance refers to a response specifically, a submission made in reaction to a request. The request may be explicit (i.e., foot in the door technique) or implicit (i.e., advertising). The target may or may not recognize that he or she is being… …   Wikipedia

  • Compliance Reporter — (CR) is a weekly news breaking source that covers compliance initiatives at broker/dealers and investment advisers, as well as regulations and enforcement actions from entities such as the National Association of Securities Dealers, the… …   Wikipedia

  • Department of Transport (Victoria) — Department of Transport (DOT) Type Government Agency Predecessor Department of Infrastructure Founded 2008 Founder(s) Government of Victoria Headquarters Melbourne, Victoria …   Wikipedia

  • Compliance and ethics program — There has been a long history of business and government excesses and subsequent legal, public and political reaction. Response to criminal misconduct has resulted in legal sanctions, governance practices, compliance standards and cultural… …   Wikipedia

  • Department of Defense Whistleblower Program — Aircraft procurement whistleblowing launched the modern Defense whistleblower program. The Department of Defense Whistleblower Program enables, in part, the federal mission of protecting whistleblowers by committing the Inspector General of the U …   Wikipedia

  • Compliance Screening — Unter Compliance Screening versteht man das Prüfen von Namen und Adressen gegen die von verschiedenen Institutionen herausgegeben Anti Terror Listen. Diese Bestimmungen sind in den EG Antiterrorismus Verordnungen und in US Auflagen festgelegt.… …   Deutsch Wikipedia

Share the article and excerpts

Direct link
Do a right-click on the link above
and select “Copy Link”