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Taiwan Stock Exchange Corporation Rules Governing the Operation of the Joint Credit Information System  CH

Amended Date: 2016.04.26 
1     These Rules are established in accordance with Article 9-3 of the Operating Rules of the Taiwan Stock Exchange Corporation. In order to enhance the quality of credit inquiries and extensions of credit by securities firms and preserve the security of the TWSE exchange market, securities firms and institutions defined in these Rules shall act in accordance with the regulations of these Rules when using the information available from the TWSE joint credit information system in their operation.
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2     To meet the securities firm's needs in credit inquiries, the TWSE has created the joint credit information system to provide inquiry services to securities firms with regard to the following information:
  1. Basic personal information: National ID number (or Unified Business Number in the case of a corporation), name.
  2. Negative personal information: "list of individuals/entities using fake/forged ID or opening a false account for themselves or others", "list of individuals/entities delivering fake/forged TWSE or TPEx securities", "list of individuals/entities found guilty in a suit filed by securities firm against them", "list of defaults by investors (including ordinary and credit defaults in the TWSE and Taipei Exchange markets, and defaults in futures exchange market, and name of the responsible person of a defaulted corporation), “list of defaults in securities business money lending,”“list of defaults in securities lending and borrowing (including by securities firms, securities financingcompanies, and securities lending center), “list of defaults in money lending for indefinite purposes,”and "list of individuals discharged from a position by the competent authorities in accordance with Article 56 of the Securities and Exchange Act". In particular, the "list of defaults by investors, “list of defaults in securities business money lending,”“list of defaults in securities lending, and “list of defaults in money lending for indefinite purposes” will be disclosed for three years from the date the notation “closed” is made if the case is reported by the securities firm closed.
  3. Information about extensions of credit to individuals:
    1. For "margin transactions": Total extensions of credit (including "total extensions of credit for margin purchases/short sales (brackets)", "balance of margin purchases/short sales (value disclosed in units of NT$10,000)", "investor's maximum daily trading limit includes the combined limit of ordinary and margin transactions").
    2. For " securities business money lending": (a) number of contracts for loans, (b) approved amount of financing (in units of NT$10,000), (c) used amount (in units of NT$10,000), and (d) outstanding balance of loans upon expiration (in units of NT$10,000).
    3. For "borrowing of securities": (a) number of accounts for borrowing of securities (including securities firms and securities financing companies), (b) limit on securities available for borrowing (in units of NT$10,000) (including securities firms and securities financing companies), (c) balance of borrowing of securities (in units of NT$1,000) (including securities firms and securities financing companies), (d) balance of borrowing of securities at securities lending center (in units of NT$1,000), and (e) note for defaults in borrowing of securities (including securities firms, securities financing companies, and securities lending center).
    4. For“money lending for indefinite purposes”: (a) number of contracts for loans, (b) approved line of credit (in units of NT$10,000), (c) used amount (in units of NT$10,000), and (d) outstanding balance of loans upon expiration (in units of NT$10,000).
  4. Other information: "list of individuals/entities opening more than three accounts in five days", "number of discretionary accounts opened", "number of investment trust and investment consulting enterprises for discretionary investment", "number of accounts opened for consignment trading for other parties", and "number of accounts opened (including accounts for ordinary, credit and futures transactions)".
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3     Institutions through and to which personal information may be provided and inquired include securities firm, securities financing companies and other institutions designated by the competent authority.
4     Personal information will be provided and inquired online via computer connection.
5     Restrictions on use of personal information:
  1. Personal information is provided only for reference in the extensions of credit by the above institutions and shall not be used as the only basis in the approval and rejection of extensions of credit unless otherwise provided by law.
  2. Personal information inquired is for internal reference only and shall not be disclosed publicly or transferred or lent to other parties.
6     These Rules shall take effect after having been submitted to and approved by the competent authority. Subsequent amendments thereto shall be effected in the same manner.


    Letter of Consent
    To: [ ] Securities Co, Ltd.
    I, the undersigned, hereby agree that the Taiwan Stock Exchange Corporation, Taipei Exchange, and the institutions designated by the competent securities authority may collect, computer process or internationally transmit and use my personal information in accordance with law, and you may transmit my personal information to the Taiwan Stock Exchange Corporation and Taipei Exchange.
    Signed by:
    Date: