PROVIDENT FUND ACT PROVIDENT FUND ACT (No. 2) B.E. 2542 Section 9. The articles of the fund shall consist of at least the following particulars: (1) the name of the fund, which shall be preceded by

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management

Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of

Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

Exchange Commission No. KorNor. 69/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and

supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best

not making reasonable sell of the assets of open-end fund or in case of necessity to maintain the best benefit of unitholders. Management company shall sell assets or terminate the contract, which is a

Exchange of Thailand; (10) “ Office ” means the Office of the Securities and Exchange Commission; (11) “ units ” means investment units of mutual fund, certificate of pooling investment trust or other