According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a written
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a
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