Microsoft Word - 5. TKS - SET Announcement (BOD) (EN) - final (first amendment with allocation ratio).docx 1 (-Translation-) Ref. IR 60/011 December 12, 2017 Subject: Reduction of the Registered

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

Section 103 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform the

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification