and limited brokers, dealers and underwriters (LBDUs).The main objective of the proposed amendment is to allow juristic persons to act as selling agents for the aforesaid intermediaries, as opposed to
Complex Type 2 Investment Consultant
spectrum must be identified whenever investment units are offered for sale. Investors must fill in questionnaires to check their risk profile so that unit sellers can match it with suitable products. In
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and