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

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 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

and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

Determination of Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor . “ fund ” means a mutual fund, private fund or provident fund unless otherwise specified herein

may Create Conflict of Interest on Private Fund Management dated 24 August 2001. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Special mutual fund” means any mutual fund

/2544 Re: Qualifications of Mutual Fund Supervisors _____________ By virtue of Section 121 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby

and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are

of provident funds for customers. “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Mutual Fund Management Clause 3. In cases where the mutual fund management company