compliance department
department set up by brokers and all organized stock exchanges to oversee market activity and make sure that trading and other activities comply with Securities and Exchange Commission and exchange regulations.
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Compliance Department
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Individuals entrusted with ensuring that a financial institution is compliant with the Financial Services & Markets Act 2000.
Financial institutions" compliance departments that become larger and busier over the years.
Firms are forced to spend large amounts of money on entire compliance departments which are staffed by people whose sole function is to keep the company above all the potential violations that are otherwise probable.
If you see any evidence of unauthorized trading or errors, notify your broker, broker's supervisor or brokerage firm's compliance department immediately to further protect your rights.
If an approach fails to bring a satisfactory response immediately, you should write to the chief executive or the compliance department.
The theory that processes with a large number of seemingly independent agents can spontaneously organize themselves into a coherent system.
Compliance department ...
They are experienced in the analysis and valuation of large-face-amount policies and work directly with advisors to develop transactions that are customized to a client's particular situation. They have in-house compliance departments to carefully ...
compliance department The department within a brokerage or stock exchange that oversees trading and... complimentary Having the characteristic of being free. comply Follow the terms of an agreement.
 See also: Banks, Saving, Complaint, Capital appreciation, Cash management
  
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