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

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

/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

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange

EDITED PAGE (Unofficial translation) PROVIDENT FUND ACT B.E. 2530 * BHUMIBOL ADULYADEJ, REX., Given on the 30th day of November B.E. 2530; Being the 42nd Year of the Present Reign. His Majesty King

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

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