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Taiwan Stock Exchange Corporation Procedures for Investors / Corporations / Institutions / Individuals (Domestic or Foreigner) to Request Account or Transaction Information for Minors or Others under Guardianship at the Centralized Securities Exchange Market  CH

Amended Date: 2021.03.05 
Categories: Securities Exchange Market > Trading > Securities Transaction
1     These procedures are established for investors to request information about accounts or transactions at the centralized securities exchange market.
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2     Type of information to be requested:
  1. Details of securities account.
  2. Information about securities transactions, including transaction records and buy/sell orders.
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3     How to request information:
  1. Submit a request in person to the Taiwan Stock Exchange Corporation (the TWSE):
    1. An adult applicant shall present his or her original National ID Card for verification of identification and submit the following documents:
      1. Application (as in Schedule 1, the form for adults) and photocopies of related documents for verification.
      2. Applicant's statement of collection, processing and utilization of personal information (as in Schedule 2).
    2. If the applicant is a minor, his or her legal representative or guardian shall present the original National ID Card of said representative or guardian and the applicant's original National ID Card or original Household Certificate with detailed narratives etc., for verification of identification, and further submit the following documents. In case the parents of the minor are unable to act as his or her agent jointly, the original consent of one of the parents to authorize the other parent to act as the minor's sole agent (as in Schedule 3) shall be required, or, as an alternative, a photocopy of the document proving that apparent may exercise parental responsibility solely or other individual has custody may be submitted (the original of which will be returned after verification):
      1. Application (as in Schedule 4, the form for minors) and photocopies of related documents for verification.
      2. Applicant's and his or her legal representative's or guardian's statements of collection, processing and utilization of personal information (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to guardianship, his or her guardian shall present the guardian’s original National ID Card, the original document sufficient to prove the guardian’s guardianship of the person subject to the commencement of guardianship, including court’s civil ruling, civil ruling confirmation, the original Household Certificate with detailed narratives, and the applicant’s original National ID Card, for verification of identification, and further submit the following documents:
      1. Application (as in Schedule 5, the form for persons subject to the commencement of guardianship) and photocopies of related documents for verification.
      2. Statements of collection, processing and utilization of personal information of the applicant and guardian (as in Schedule 2).
    4. If the applicant is an overseas Chinese, foreigner or Mainland individual: The applicant who is an overseas Chinese shall present the original R.O.C. passport with Overseas Compatriot Identity Endorsement, the original overseas compatriot identity certificate or the original document certifying his or her identification issued by the foreign mission etc., for verification of identification; the applicant who is a foreigner shall present the original foreign passport or original Alien Resident Certificate for verification of identification; the applicant who is a Mainland individual shall present the original entry permit to Taiwan for Mainland Chinese Nationals for verification of identification. The aforementioned applicant shall further submit the following documents:
      1. Application (as in Schedule 1, 4 or 5) and photocopies of related documents for verification.
      2. Applicant’s, legal representative’s, or guardian's statement of collection, processing and utilization of personal information (as in Schedule 2).
  2. If the applicant asks another person 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 and the principal's original National ID Card etc. for verification of identification and further submit the following documents:
      1. Application (as in Schedule 1) and photocopies of related documents for verification.
      2. Power of attorney (as in Schedule 6, the form for adults), plastered with a photocopy of the front side of the fiduciary's National ID Card (as in Schedule 6, the form for adults).
      3. Principal's and fiduciary's statements of collection, processing and utilization of personal information (as in Schedule 2).
    2. If the applicant is a minor, the fiduciary shall present the fiduciary’s original National ID Card and the applicant's original National ID Card or original Household Certificate with detailed narratives etc., for verification of identification, and further submit the following documents. In case the parents of the minor are unable to act as his or her agent jointly, the original consent of one of the parents to authorize the other parent to act as the minor's sole agent (as in Schedule 3) shall be required, or, as an alternative, a photocopy of the document proving that a parent may exercise parental responsibility solely or other individual has custody may be submitted (the original of which will be returned after verification):
      1. Application (as in Schedule 4) and photocopies of related documents for verification.
      2. Power of attorney of the legal representative or guardian authorizing another person to make the request on his or her behalf (as in Schedule 7, the form of minors or guardians of persons subject to the commencement of guardianship), plastered with a photocopy of the front side of the fiduciary's National ID Card.
      3. Statements of collection, processing and utilization of personal information of the applicant, principal and fiduciary (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to guardianship, his or her fiduciary shall present the fiduciary’s and the guardian's original National ID Card, the original document sufficient to prove the guardian’s guardianship of the person subject to the commencement of guardianship, including court’s civil ruling, civil ruling confirmation, the original Household Certificate with detailed narratives, and the applicant’s original National ID Card for verification, and further submit the following documents:
      1. Application (as in Schedule 5, the form for persons subject to the commencement of guardianship) and photocopies of related documents for verification.
      2. Power of attorney of the guardian authorizing another person to make the request on his or her behalf (as in Schedule 7), plastered with a photocopy of the front side of the fiduciary's National ID Card.
      3. Statements of collection, processing and utilization of personal information of the applicant, principal and fiduciary (as in Schedule 2).
    4. If the applicant is an overseas Chinese or foreigner or Mainland individual: If the applicant is an overseas Chinese, he or she shall present his or her original National ID Card and the original overseas compatriot identity certificate or the original document certifying the applicant's identification issued by the foreign mission, for verification of identification; if the applicant is a foreigner, he or she shall present his or her original foreign passport or original Alien Resident Certificate for verification of identification; if the applicant is a Mainland individual, he or she shall present his or her original entry permit to Taiwan for Mainland Chinese Nationals for verification of identification, and further submit the following documents:
      1. Application (as in Schedule 1, 4 or 5) and photocopies of related documents for verification.
      2. Power of attorney (as in Schedule 6 or 7), plastered with a photocopy of the front side of the fiduciary's National ID Card.
      3. Statements of collection, processing and utilization of personal information of the principal and fiduciary (as in Schedule 2).
    5. If the applicant is a legal entity: The authorized person shall present his or her original National ID Card, a photocopy of the registration documents of the legal entity, and a photocopy of the front of the responsible person's National ID Card; if the responsible person is an overseas Chinese, foreigner or Mainland individual, he or she shall submit the related supporting documents in accordance with the preceding paragraph for verification of identification and further submit the following documents:
      1. Application (as in Schedule 8, the form for legal entities) and photocopies of related documents for verification.
      2. Statements of collection, processing and utilization of personal information of the responsible person and authorized person (as in Schedule 2).
  3. If the applicant makes a request in person at the securities firm to receive information by mail:
    1. The applicant or his or her legal representative, guardian, or the authorized person in case of a legal entity, may visit the securities broker in person, with all required application documents, to make a request to receive information by mail.
    2. The securities broker shall appoint a registered and licensed salesperson to verify the identification of the applicant or his or her legal representative, guardian, or the authorized person in case of a legal entity, and the application documents. After the verification, a written certificate will be issued and enclosed with a formal letter, and submitted together with application documents to the TWSE to make the request.
    3. Along with the application, a pre-paid return envelope for registered mail shall be provided and the TWSE will mail the requested information directly to the applicant or his or her legal representative, guardian, or authorized person in case of a legal entity.
    4. Prior to issuance of its statement, the securities broker shall verify the following documents from the applicant:
      1. If the applicant is an adult, the applicant shall present his or her original National ID Card for verification of identification and submit the following documents before the securities broker may issue a written statement (as in Schedule 9, the form for adults):
        1. Application (as in Schedule 1) and photocopies of related documents for verification.
        2. Applicant's statement of collection, processing and utilization of personal information (as in Schedule 2).
      2. If the applicant is a minor, his or her legal representative or guardian shall present the legal representative or guardian’s original National ID Card and the minor's original National ID Card or original Household Certificate with detailed narratives, for verification of identification, and further submit the following documents, for the securities broker to issue a written certificate (as in Schedule 10, the form for minors or guardians of persons subject to the commencement of guardianship). In case the parents of the minor are unable to act as his or her agent jointly, the original consent of one of the parents to authorize the other parent to act as the minor's sole agent (as in Schedule 3) shall be required, or, as an alternative, a photocopy of the document proving that a parent may exercise parental responsibility solely or other individual has custody may be submitted (the original of which will be returned after verification):
        1. Application (as in Schedule 4) and photocopies of related documents for verification.
        2. Statement of collection, processing and utilization of personal information of the applicant and his or her legal representative or guardian (as in Schedule 2).
      3. If the applicant is adjudicated to be subject to guardianship, his or her guardian shall present the guardian’s original National ID Card, the original document sufficient to prove the guardian’s guardianship of the person subject to the commencement of guardianship, including court’s civil ruling, civil ruling confirmation, the original Household Certificate with detailed narratives, and the applicant’s original National ID Card, for verification of identification, and further submit the following documents, for the securities firm to issue a written statement (as in Schedule 10):
        1. Application (as in Schedule 5) and photocopies of related documents for verification.
        2. Statements of collection, processing and utilization of personal information of the applicant and his or her guardian (as in Schedule 2).
      4. If the applicant is an overseas Chinese, foreigner or Mainland individual: The applicant who is an overseas Chinese shall present the original overseas compatriot identity certificate or the original document certifying his or her identification issued by the foreign mission, for verification of identification; the applicant who is a foreigner shall present the original foreign passport or original Alien Resident Certificate for verification of identification; the applicant who is a Mainland individual shall present the original entry permit to Taiwan for Mainland Chinese Nationals for verification of identification, and further submit the following documents, for the securities broker to issue a written statement (as in Schedule 9 or 10):
        1. Application (as in Schedule 1, 4 or 5) and photocopies of related documents for verification.
        2. Applicant's or his or her legal representative’s or guardian’s statement of collection, processing and utilization of personal information (as in Schedule 2).
      5. If the applicant is a legal entity: The authorized person shall present his or her original National ID Card, a photocopy of the registration documents of the legal entity, and a photocopy of the front of the responsible person's National ID Card (if the responsible person is an overseas Chinese, foreigner or Mainland individual, he or she shall prepare and submit the related supporting documents in accordance with item d of this subparagraph for verification of identification and submit the following original documents, for the securities broker to issue a written certificate (as in Schedule 11, the form for the authorized person of a legal entity):
        1. Application (as in Schedule 8) and photocopies of related documents for verification.
        2. Statement of collection, processing and utilization of personal information of the responsible person and authorized person (as in Schedule 2).
    5. If the applicant or his or her 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 paragraph (B), subparagraphs (1) to (4) for verification of identification and further submit the original Power of Attorney (as in Schedule 6 or 7), for the securities broker to issue a written certificate (as in Schedule 9 or 10).
  4. Make a request online:
    1. The applicant may send a request online by using the Investors' Personal Information Inquiry System maintained by the TWSE at https://investor.twse.com.tw/, and complete the statement of collection, processing and utilization of personal information (as in Schedule 12, the form for the Online Investors' Personal Information Inquiry System) online.
    2. The applicant must have an " On-line Stock-dealing Certificate," "Citizen Digital Certificate" or "Ministry of Economic Affairs Certification Authority (MOEACA) card."
  5. As regards an applicant under paragraphs A to C of this article:
    1. If he or she has changed his or her or its name, or the natural person has changed his or her last or first name or full name, the applicant shall also submit the original Household Certificate with detailed narratives, or original certificate of name change; in case of a juristic person which has changed its name, it shall submit the original supporting documents of its amendment registration, for verification by the TWSE, with photocopies thereof kept for archiving.
    2. If the applicant is a person subject to a court order for the commencement of assistantship, according to which the person is 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.
  6. If a fiduciary, legal representative, guardian, or the authorized person of a legal entity is an overseas Chinese, foreigner, or Mainland individual, he or she shall present the original R.O.C. passport with Overseas Compatriot Identity Endorsement, the original overseas compatriot identity certificate, the original document certifying his or her overseas Chinese identification issued by the foreign mission, original foreign passport, original Alien Resident Certificate, or original entry permit to Taiwan for Mainland Chinese Nationals, for verification of identification.
  7. The request in paragraphs A to F will be entertained after the aforementioned documents are confirmed correct.
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4     Investors may request account or transaction information 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 before the end of 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 am 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 the applicant makes a request online by using the Investors' Personal Information Inquiry System maintained by the TWSE:
    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 one year or more up to before the end of the fifth year from the request date, a computer processing fee of TWD 100 per year is 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 computer processing fee of TWD 150 per year is charged. For this purpose, a period less than a year will be deemed a full year.
  3. If fees are required for a mail or online request for transaction information, 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 sent.
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5     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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