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Quantitative Finance · Begrippenlijst

Wat is Compliance officer?

Definition 24.3 The Industry: Firms, Roles and Careers · Hoofdstuk 24 — Risk, Operations, Product Control and Compliance

A compliance officer is a member of the function that makes sure a firm and its staff follow the laws and rules that apply to them: advises the business, trains and certifies staff, monitors trading and communications for market abuse, and reports to regulators when required.

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