Post by cxgllc on Oct 18, 2018 6:53:18 GMT -5
Investment compliance, which involves comprehensive investment restriction monitoring and administration, is a particularly complex and sensitive field within investment business.
Investopedia describes the compliance department as a bank's internal police force. It is the unit that ensures that a financial institution complies with applicable laws, regulations and rules, and it plays an essential role in helping to preserve the integrity and reputation of the bank.
Investment banking compliance | Broker Compliance
Investopedia describes the compliance department as a bank's internal police force. It is the unit that ensures that a financial institution complies with applicable laws, regulations and rules, and it plays an essential role in helping to preserve the integrity and reputation of the bank.
Investment banking compliance | Broker Compliance