Regulators found similar problems during a 2001 inspection and ordered Citibank to improve its compliance system.

His activities set off repeated alarms in Prudential's compliance system over several years that were ignored by managers up the line.

Drexel also agreed to monitor trading by its employees more vigorously, establishing a new layer of compliance systems.

We are starting with a voluntary compliance system, which we will monitor.

He oversees the effectiveness of the firm's compliance system.

A standard which has not been attained in a compliance system needs remedy.

The enforcement agent in a compliance system has a wide variety of roles to fulfil.

In a compliance system, indeed, resort to formal processes is often regarded as a sign of failure.

In a compliance system, the 'good' officer is one who gets results quietly and efficiently.

"As banks or financial institutions get more power, they need to have a very clear and tough compliance system."