Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Taiwan Stock Exchange Corporation (the "TWSE") Procedures for Inquiries Regarding Account Opening and Trading Data of Employees of Securities Investment Trust/Consulting Enterprises and Their Spouses and Minor Children 

Amended Date: 2023.11.29 (Articles 4 amended,English version coming soon)
Current English version amended on 2022.06.02 
Categories: Securities Exchange Market > Trading > Securities Transaction
3
    When appointing internal audit or legal compliance personnel to verify the identity of the Client's (including an employee's, his or her spouse's, and minor children's) power of attorney, the SITE/SICE shall inspect the original of his/her identity card; where the Client is an adult, a minor, a person subject to an order of the commencement of guardianship, overseas Chinese, foreign national, or Mainland Chinese national, the SITE/SICE shall inspect the following identification:
  1. Adult: an original copy of the identity card of the adult him/herself;
  2. Minor: an original copy of the identity card of the legal representative, and an original copy of either the identity card or household registry with notes of the minor him/herself;
  3. A person subject to an order of the commencement of guardianship if said person is the spouse of an employee and the employee is the guardian: an original copy of the identity card of each of the guardians and the person subject to said order, and an original copy of sufficient proof of the guardian being the guardian of said person, including the court’s civil ruling, verification of civil ruling, household registry with notes, etc.;
  4. Overseas Chinese: an original copy of his/her R.O.C. passport with Overseas Chinese Identity Endorsement, Overseas Chinese Identity Certificate, or the identification issued by an overseas mission, etc.;
  5. Foreign national: an original copy of either his/her foreign passport or his/her Alien Resident Certificate, etc.; and
  6. Mainland Chinese national: an original copy of his/her Exit & Entry Permit for Mainland Chinese Nationals.

Interpretation:

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw