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Home > QFINANCE Dictionary > Definition of compliance department

Definition of

compliance department

  • 1. Stockholding & Investments

    department in stockbroking firm enforcing stock exchange rules 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

  • 2. Regulation & Compliance

    department in firm enforcing business regulations a department that ensures that the company it is part of is adhering to any relevant laws and regulations relating to its business

Definitions of ’compliance department’ and meaning of ’compliance department’ are from the book publication, QFINANCE – The Ultimate Resource, © 2009 Bloomsbury Information Ltd. Find definitions for ’compliance department’ and other financial terms with our online QFINANCE Financial Dictionary.

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