A “Compliance Officer” is an employee of a company that ensures the firm is in compliance with its outside regulatory and legal requirements as well as internal policies and bylaws.
An “Associated Person” of a broker or dealer is an employee directly exercising control of supervisory authority over sales but does not include a salesman, or an agent or a person whose functions are solely clerical or ministerial.
A “Salesmen/Fixed Income Market Salesman” is a financial professional who executes security trades on behalf of institutional and retail clients based on equity research relating to fixed income investments. They generally work for broker-dealers and banks. Similar institutions that attract investment clients also hire fixed income traders.
An “Investment Solicitor” acts as a certified representative or an agent for any investment matters. In the Philippines, a preferred method for money investments is through mutual funds.
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