Is the brokerage lawyer the compliance department?

Yes Brokerage lawyers are compliance departments, and brokerage compliance cannot be registered at present. Corporate lawyers are being piloted in some parts of China, but brokers have not yet been included in the pilot scope. The Compliance Department is the functional department responsible for the supervision and inspection of compliance and law-abiding, the determination of the responsibility for credit operation approval and anti-money laundering, and undertakes the corresponding responsibilities with the Compliance Department of the Head Office.