为内部控制开发合规功能。监控交易活动。避免利益冲突。确保经纪行遵守准则。避免洗钱和潜在的逃税。 Developing a compliance function for internal controls. Monitor trading activity. Avoid conflicts of interest. Safeguard compliance with guidelines at brokerage houses. Avoid�money laundering�and potential�tax evasion.