processing and confirming the redemption orders in violation of the tax terms; (3) In the case of {C}, she was found to approve the redemption orders in the Bank’s investment unit trading system
ก.ล.ต. ได้รับรายงานสรุปข้อร้องเรียนของลูกค้าจากบริษัท เอไอเอ จำกัด และตรวจสอบข้อเท็จจริงเพิ่มเติมพบว่า นายเฉลิมวุฒิ ทุจริตยักยอกเงินค่าเบี้ยประกันภัยปีต่อกรมธรรม์ประกันชีวิตควบการลงทุน (unit link
บัญชีเพื่อจองซื้อหลักทรัพย์และเพื่อลงทุนในกรมธรรม์ประกันชีวิตควบการลงทุน (unit-link)
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
include:- Adjusting the investment unit value to reflect the costs incurred from selling or buying assets in the fund portfolio,- Charging additional fees from the buyer/seller of investment
unit holders.Furthermore, SEC will launch an online submission channel for the convenience of the business providers rather than the usual CD submission, as well as a mean to alleviate burdens and the
tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity
specific features of trigger funds. For example, fund intermediaries must strictly clarify that the trigger point is not a guarantee of returns, and that unit redemption ahead of the target date set in the
information of a company secretary, and head of compliance unit. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to