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1. For trading account held by the client him/herself:
- If a securities firm has established the online authentication system and received the consent of the client giving his or her electronic signature via online authenticationorganization, the firm may send a statement via SMS and its mobile application (APP). The relevant operational procedure is described below:
- The message should contain the words indicating “Monthly Statement for Securities”.As a general rule, confidential and sensitive information about the client should be de-identified. Information must be encrypted. A computer audit log should be kept for as long as the retention period applicable to the statement.
- Client’s application procedure:
- For application submitted in person: The client is required to sign and/or affix the chop consistent with the specimen to the application. For a client with a trading volume of over NTD 50 million in a month, the securities firm should take photographs or make video recordings as evidence to prove the application is submitted by the client him/herself.
- For application submitted online: The client is required to sign these encrypted electronic documents with electronic signature, with a computer audit log being created. For a client with a trading volume of over NTD 50 million in a month, the client must submit online clear photographs or images of both his or her National ID Card and face.
- The retention period for the above application information shall be the same as the retention period under the account opening agreement.
- How a statement is sent:
- A securities firm shouldsend, by the 10th day of the following month and in the manner agreed by the client, a message containing a link that will take the client to the firm’s APP or web page to view his or her statement for the current month.
- For a client with a trading volume of over NTD 50 million in a month, the client is required to provide his or her electronic signature before he or she will be permitted to review his or her statement via the firm’s APP or on its web page. After the signature is approved, a read receipt will be automatically sent to the firm. The firm should send,in the manner agreed by the client,a message containing a link that will take the client to the firm’s APP or web page to view his or her statement twicebefore the 10th day of the following month:
- If the firm has not received the client’s read receipt within two days after its first attempt to send the message, it should send the message again in the agreed manner.
- If the firm has not received the client’s read receipt within two days after its second attempt to send the message, the firm should send a hardcopy of the statement by registered mail to the client’s registered address. If, however, after adequate verification measures have been taken (for example, the client applies in person with photographs taken or video recordings made by the firm as evidence), and the case is approved by the general manager (or the branch manager in case of a branch), the statement may be sent, not necessarily by registered mail, to a different address designated by the client.
- If a securities firm has established the online authentication system and received the consent of the client giving his or her electronic signature via online authentication organization, the firm may send a confirmation letter via SMS and its APP to a client with a trading volume of over NTD 50 million in the current month who is randomly selected for audit. The relevant operational procedure is described below:
- The message should contain the words indicating “Confirmation Letter”. As a general rule, confidential and sensitive information about the client should be de-identified. Information must be encrypted. A computer audit log should be kept for as long as the retention period applicable to the statement.
- Client’s application procedure:
- For application submitted in person: The client is required to sign and/or affix the chop consistent with the specimen to the application. The securities firm should take photographs or make video recordings as evidence to prove the application is submitted by the client him/herself.
- For application submitted online: The client is required to sign these encrypted electronic documents with electronic signature, with a computer audit log being created. The client must also submit online clear photographs or images of both his or her National ID Card and face.
- The retention period for the above application information shall be the same as the retention period under the account opening agreement.
- How a confirmation letter is sent:
- A securities firm should senda randomly selected client, in the manner agreed by the client, twice a message containing a link that will take the client to the firm’s APP or web page to view the confirmation letter.
- When reviewing the confirmation letter via the firm’s APP or on its web page, the client should click to confirm whether the trading statement has been received and if there are any questions about the listed trading records, and provide his or her electronic signature before an auto reply will be sent to the securities firm.
- If the firm has not received the client’s reply within two days after its first attempt to send the message, it should send the message again in the agreed manner.
- If the firm has not received the client’s replywithin two days after its second attempt to send the message, the firm should send a hardcopy of the confirmation letter by registered mail to the client’s registered address. If, however, after adequate verification measures have been taken (for example, the client applies in person with photographs taken or video recordings made by the firm as evidence), and the case is approved by the general manager (or the branch manager in case of a branch), the confirmation letter may be sent, not necessarily by registered mail, to a different address designated by the client.
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