Sentence examples for firm compliance from inspiring English sources

"The purpose of this is to empower the brokerage firm compliance officer," said Robert R. Glauber, chairman of NASD.

Federal regulators are asking such questions as they undertake a series of examinations of brokerage firm compliance departments.

Regulators said they became aware that brokerage firm compliance with document retention rules was spotty when they started investigating analyst activities about one and a half years ago.

We illustrate the importance of these recommendations for firm compliance behavior by drawing on the experience of the Beijing pilot ETS (2013-2015).

In mid-June, UBS filed a broker report for Mr. Arbizu's successor, Mr. Decastro, saying that he had left the firm amid an internal investigation of "violations of firm compliance and client confidentiality rules".

However, depending on the size and the nature of the firm, compliance programs might vary.

Last Thursday, for example, the Securities and Exchange Commission proposed new rules for analysts that call for increased oversight of research department activities by firms' compliance departments.

Moreover, the fact that the C.F.T.C. enlisted our help to complete the majority of the limited reviews to ensure firms' compliance with customer segregation rules shows that it continues to trust the quality of our work.

Other chief executives, including Stephen Hester of Royal Bank of Scotland and Stuart T. Gulliver of HSBC, have also outlined plans to improve their firms' compliance and management structures in the wake of large financial penalties.

Those who monitor these regulators' activities closely say that the number of new regulations being introduced is at a 40-year low, and firms' compliance costs are falling for the first time since the 2008 financial crisis.

Those risks can also be addressed through 'forward compliance,' meaning that firms' compliance programs should be dynamic, focussing not only on what the applicable rules are at the time of any particular action, but also what they are likely to be in the future.