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

Amended Date: 2021.03.05 
Categories: Securities Exchange Market > Trading > Securities Transaction
1     Applicant: Requests to be made by administrator, executor or heir.
  1. An administrator (to be elected by the family council or appointed by the court) or executor (to be appointed by the testator or by a person engaged by the testator, or elected by the family council or appointed by the court) shall submit:
    1. Original Household Certificate or original Household Registration Cancellation document etc. with a note proving the death of the decedent.
    2. The administrator's or executor’s own original identification.
    3. Administrator: Original written evidence of election by the family council or appointment by the court.
    4. Executor: Original written evidence of appointment by the testator or a person engaged by the testator, or election 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 etc.
    2. The heir's current original Household Certificate with detailed narratives.
    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 is an adult: The applicant shall present his or her original National ID Card for verification of identification and further submit the following documents:
      1. Application and photocopies of related documents for verification (as in Schedule 2).
      2. Applicant’s statement of collection, processing and utilization of personal information (as in Schedule 3).
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese, foreigner or 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 the applicant is an adult, the fiduciary shall present the fiduciary’s own and the principal’s original National ID Card etc. for verification of identification and further submit the following documents:
      1. Application (as in Schedule 2) and photocopies of related documents for verification.
      2. Power of attorney, plastered with a photocopy of the front side of the fiduciary's National ID Card (as in Schedule 4, the form for adults).
      3. Statements of collection, processing and utilization of personal information of the principal and fiduciary (as in Schedule 3).
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese, foreigner or 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 broker to receive information by mail:
    1. If the applicant is an adult, the applicant shall present the original National ID Card for verification of identification. After the following documents are submitted, the securities broker will issue a certificate (as in Schedule 5, the form for adults):
      1. Application (as in Schedule 2) and photocopies of related documents for verification.
      2. Applicant's statement of collection, processing and utilization of personal information (as in Schedule 3).
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese, foreigner or 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, legal representative or guardian, and the application documents, before issuing the certificate. After the verification, the certificate will be enclosed with a formal letter and submitted together with application documents 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, legal representative or guardian.
    5. If the applicant, legal representative or guardian authorizes another person to make a personal request to the securities broker to receive information by mail, the fiduciary shall submit the relevant supporting documents in accordance with Article 3, paragraph (B), subparagraphs (1) to (4) of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market, for verification of identification, and further submit the original Power of Attorney, for the securities broker to issue a written certificate.
  4. If the applicant in paragraphs (1) to (3) is a person subject to a court order for the commencement of assistantship, according to which the person is generally prevented, amongst others, from accessing securities account or transaction information, the TWSE or securities broker 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 through an agent to the TWSE, or makes a request to the securities broker to receive information by mail:
    1. A request for account opening information, or for transaction information within one year preceding the request date, is free of charge.
    2. For each request for information about transactions over one year or more up to the fifth year from the request date, a handling fee of TWD 100 and an annual computer processing fee of TWD 100 are charged. For this purpose, a period less than a year will be deemed a full year.
    3. For each request for information about transactions five years or more from the request date, a handling fee of TWD 100 and an annual computer processing fee of TWD 150 are charged. 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. For excess printout, a fee of TWD 5 per excess page is charged.
  2. If fees are required for a request for transaction information to receive information by mail, payment shall be made by wire transfer to the following account:
    Account Name: Taiwan Stock Exchange Corporation
    Account No.: 001030912922
    Bank Name: Cathay United Bank, Guanqian Branch (Bank Code 013) An invoice will be separately issued.
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4     These Procedures shall take effect after having been submitted to and approved by the president. Subsequent amendments thereto shall be effected in the same manner.
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