What are the requirements for compliance personnel of securities companies? What is the standard?
Compliance is like the supervision of the whole company, which is mainly to urge and supervise whether the employees of the company violate the rules in business, including whether the services and marketing of themselves and foreign customers violate the rules. Just like you are the public security department of a unit, your usual task is to find out whether everyone violates various laws and regulations and correct and warn them in time! Compliance posts often study and test because all policies and regulations are changing!