Today, compliance departments at the biggest brokerage firms tend to go well beyond the dictates of law or industry rules.

He refused and pleaded with the bank's compliance department to intervene.

Their compliance departments will undertake an investigation and, if appropriate, take action.

In the past, records managers owned records management, perhaps within a compliance department at an enterprise.

Having immense balance sheets to work with and compliance departments looking over their shoulders must help, too.

"I think there's a fair recognition that something more than just beefing up compliance departments has to be done."

But without a compliance department, it is unclear who, if anyone, is monitoring the exchange.

If the problem is still not resolved, write to the compliance department at the firm's main office.

He was promoted to head the compliance department.

Phillips & Drew, a major London broker, has added four people to its compliance department.