Home > Glossary > Compliance Department
Meaning / Definition of
Compliance Department
Categories: Brokerages, Compliance and Governance, Investing and Trading, Stocks,
a department in a stockbroking firm that makes sure that the stock exchange rules are followed and that confidentiality is maintained in cases when the same firm represents rival clients a department that ensures that the company it is part of is adhering to any relevant laws and regulations relating to its business
Most popular terms
1. Circuit Breaker2. Separate Account Fund
3. Use In Commerce
4. Common Shares
5. Highest And Best Use
6. Fill Or Kill Order (FOK)
7. Competence
8. Limited Severability Provision
9. Sovereign Wealth Funds
10. Specialist
Search a term
Browse by alphabet
A | B | C | D | E | F | G |
H | I | J | K | L | M | N |
O | P | Q | R | S | T | U |
V | W | X | Y | Z | # |
Browse by category
AccountingBanking
Bankruptcy Assistance
Bonds and Treasuries
Brokerages
Business and Management
Compliance and Governance
Credit and Debt
E-commerce
Economics
Estate Planning
Forex
Fraud
Fundamental Analysis
Futures
Global
Insurance
International Trade
Investing and Trading
Ipos
Legal
Loan and Mortgage
Mergers and Acquisitions
Mutual Funds
Operation and Production
Options
Patent
Personnel Management
Real Estate
Retirement and Pension
Statistics and Risk Management
Stocks
Strategies
Tax
Technical Analysis
Venture Capital