RegulationC

Compliance

Compliance in trading refers to the adherence to laws, regulations, rules, and standards set by regulatory bodies and internal policies governing financial markets. Firms and traders must comply with requirements from regulators such as the SEC, CFTC, and FCA, covering areas like trade reporting, anti-money laundering, capital adequacy, and market conduct. Non-compliance can result in fines, license revocation, or criminal prosecution.

Example

“The brokerage hired a dedicated compliance officer to ensure all client trades met regulatory requirements and that suspicious transaction reports were filed on time.”