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Title:

Taiwan Stock Exchange Corporation Procedures for Decedents to Request Account or Transaction Information at the Centralized Securities Exchange Market  CH

Amended Date: 2018.10.12 
Categories: Securities Exchange Market > Trading > Securities Transaction
1     Applicant: Applicant: Requests to be made by administrator or heir.
  1. An administrator(to be elected by the family council or appointed by the court) shall submit:
    1. Original Household Certificate or original Household Registration Cancellation document with a note proving the death of the decedent.
    2. The administrator's own original identification.
    3. Original written evidence of selection by the family council or appointment by the court.
  2. The heir shall submit:
    1. Original Household Certificate or original Household Registration Cancellation document with a note proving the death of the decedent.
    2. The heir's current original Household Certificate.
    3. Inheritance tree diagram (as in Schedule 1).
    4. The heir's original identification.
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2     How to request information:
  1. Submit a request in person to the Taiwan Stock Exchange Corporation (the TWSE):
    1. If the applicant shall visit the TWSE with his or her original National ID Card, complete and submit the Application (as in Schedule 2), Statement of collection, processing and utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application. Upon verification of the above, the TWSE will keep and archive these documents for further reference.
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (1), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
  2. If an applicant asks another to make a request to the TWSE on his or her behalf:
    1. If an adult applicant is unable to submit the request in person, he or she may appoint an agent to act on his or her behalf.
    2. The agent shall visit the TWSE with his or her original National ID as well as the applicant's original National ID Card, complete and submit the Application (as in Schedule 2), applicant's Power of Attorney (as in Schedule 4), with the photocopy of the front side of the agent's National ID Card properly glued on, applicant's and agent's Statement of collection, processing and utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application. Upon verification of the above, the TWSE will keep and archive these documents for further reference.
    3. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (2), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
  3. If an applicant makes a request in person at the securities firm to receive information by mail:
    1. If an adult applicant is unable to submit the request in person to the TWSE, he or she may visit the securities broker in person with his or her original National ID Card to have the broker verify his or her identify, complete and submit the Application for information about decedent (as in Schedule 2), Statement of collection, processing, and utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application for further action.
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (3), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
    3. The securities broker shall appoint a registered and licensed salesperson to verify the identity of the applicant and the application documents before issuing the Certificate (as in Schedule 5). The broker shall send a formal letter, enclosed with the original Application, original Certificate, the applicant's original Statement of collection, processing, utilization of personal information (as in Schedule 3), and such supporting documents as stated in the Application, to the TWSE to make the request.
    4. The applicant shall provide a pre-paid return envelope for registered mail to be used by the TWSE to mail the requested information directly to the applicant.
  4. If the applicant in paragraphs (1) to (3) is a person declared by a court to be under assistance, according to which the person is generally prevented from accessing securities account or transaction information, the TWSE or securities firm may request a written consent by his or her assistant. If, however, the applicant refuses to provide the consent, the TWSE may decline his or her request.
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3     Investors may request account or transaction at the centralized securities exchange market for a fee at the following rate:
  1. If the applicant makes the request in person or by agent to the TWSE, or makes a request to the securities firm to receive information by mail:
    1. A request for account opening information or transaction information within one year from the request date is free of charge.
    2. A request for information about transactions between one to five years (not including the anniversary date) before the request date has a handling fee of TWD 100 per request and a computer processing fee of TWD 100 year.For this purpose, a period less than a year will be deemed a full year.
    3. A request for information about transactions more than five years old from the request date has a handling fee of TWD 100 per request and a computer processing fee of TWD 150 per year.For this purpose, a period less than a year will be deemed a full year.
    4. A printout of the above requested information of not more than 10 pages is free of charge. All pages more than 10 will have a fee of TWD 5 per page.
  2. If the applicant makes a request online by using the Investor's Personal Information Inquiry System maintained by the TWSE:
    1. A request for account opening information or transaction information within one year from the request date is free of charge.
    2. A request for information about transactions between one to five years (not including the anniversary date) from the request date has a computer processing fee of TWD 100 per year.For this purpose, a period less than a year will be deemed a full year.
    3. A request for information about transactions more than five years old from the request date has a computer processing fee of TWD 150 per year.For this purpose, a period less than a year will be deemed a full year.
  3. If fees are required for a request for transaction information to receive information by mail or an online request, payment shall be made by wire transfer to the following account:
  4. Account Name: Taiwan Stock Exchange Corporation
    Account No.: 001030912922
    Bank Name: Cathay United Bank, Guanqian Branch (Bank Code 013)
    A Government Unified Invoice (GUI) for the payment will be separately issued and sent to the applicant.
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4     These Procedures shall be published and implemented upon approval of the president. Subsequent amendments thereto shall be effected in the same manner.
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