The department within a brokerage or stock exchange that oversees trading and other activities to ensure that SEC regulations are being adhered to.
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.
A department in all organised stock exchanges that ensures that all companies, traders and brokerage firms comply with the regulatory body and exchange rules and regulations.
Generally found in all organized stock markets, and most brokerage firms, this unit is responsible for overseeing market activity and that trading and other activity related complies with SEC and SRO regulations and other relevant internal policies.
Department in all organized stock exchanges to ensure that all companies, traders and brokerage firms comply with the Financial Services Authority
The department within a brokerage firm that oversees the trading and market-making activities of the firm. It ensures that the employees and officers of the firm are abiding by the rules and regulations of the SEC, exchanges and SROs.
The Compliance department in an organised stock exchange ensures all companies, traders and brokerage firms comply with the regulatory body and exchange rules and regulations.
