derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
February 21 ,2018 Subject : Clarification of Performance for 2017 To : The President The Stock Exchange of Thailand WICE Logistics Public Company Limited would like to clarify the altering operating
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the date on which
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules