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… … Investment dictionary
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