Compliance is the function inside a regulated firm responsible for ensuring it follows applicable rules. In manipulation matters, regulators routinely examine not just what the trader did but what compliance saw, alerted on, and then closed.
compliance and practice · updated 2026-09-08
See also
Surveillance— Surveillance, in a market context, is the automated monitoring of order and trade data for patterns that suggest abuse. Exchanges,…
Supervision— Supervision is the obligation on a regulated firm to oversee its people and detect misconduct. Failure to supervise is an independ…