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These Procedures are established for the handling of inquiries made by a company or firm such as banking enterprise, securities and futures enterprise, insurance enterprise, and accounting firm (the “Trustee”) on behalf of its employees and their spouses and minor children (hereunder collectively referred to as the “Client”) in accordance with the internal control system, self-regulatory rules or code of professional ethics with the Taiwan Stock Exchange Corporation (the “TWSE”) about matters pertaining to the Clients’ personal information such as account opening and trading data.
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If the Client grants the Trustee general authorization to make an inquiry to the TWSE on behalf of the Client for multiple times within a certain period about his/her personal information such as account opening and trading data, the Trustee shall appoint internal auditing personnel or legal compliance personnel to verify the identity of the Client (including employees, their spouses and minor children), and the fact of the commission. The above-mentioned certain period is determined by the Client and the Trustee.
Unless the commission is terminated by the Client and the Trustee, or the term of commission is reduced and the TWSE is notified accordingly, disputes between the parties and either party’s claims are invalid against the TWSE.
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When appointing internal auditing personnel or legal compliance personnel to verify the power of attorney issued by the Client (including the employee, his or her spouse, and minor children), the Trustee shall inspect the original of his/her identity card; where the Client is an adult, a minor, a person subject to an order of the commencement of guardianship, overseas Chinese, foreign national, or Mainland Chinese national, the Trustee shall inspect the following identification:
- Adult: an original copy of the identity card of the adult him/herself;
- Minor: an original copy of the identity card of the legal representative, and an original copy of either the identity card or household registry with notes of the minor him/herself;
- A person subject to an order of the commencement of guardianship if said person is the spouse of an employee and the employee is the guardian: an original copy of the identity card of each of the guardian and the person subject to said order, and an original copy of sufficient proof of the guardian being the guardian of said person, including the court’s civil ruling, verification of civil ruling, household registry with notes, etc.;
- Overseas Chinese: an original copy of his/her R.O.C. passport with Overseas Chinese Identity Endorsement, Overseas Chinese Identity Certificate, or the identification issued by an overseas mission, etc.;
- Foreign national: an original copy of either his/her foreign passport or his/her Alien Resident Certificate, etc.; and
- Mainland Chinese national: an original copy of his/her Exit & Entry Permit for Mainland Chinese Nationals.
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The Trustee accepting the commission of the Client and applying for inquiring on the Client’s behalf about his/her personal data such as account opening and trading data shall submit the following documents and appoint a special representative (who must be an incumbent employee of the Trustee, hereinafter “Authorized Representative”) to make the application in person to the TWSE. The application will be accepted once the documents are verified by TWSE as correct:
- An original copy of the application form (Attachment I), Client list (appendix to Attachment I), etc. and relevant verification documents such as internal control system, self-regulatory rules or code of professional ethics.
- A photocopy of the Power of Attorney and a photocopy of the Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Client etc. (Attachments II: Form for employees and their spouse; Attachment III: Form for minor children); if the Client is a minor child and his/her parents cannot represent him/her jointly, a photocopy of an independent representation agreement (Attachment III-1), or a photocopy of sufficient proof of one of the parents’ right to exercise sole custody, and an original of an undertaking by the Trustee (Attachment IV) bearing the Trustee’s and responsible person’s seals, and signatures or seals of the internal auditing officer or legal compliance officer etc., must be submitted.
- Where the Client is an adult, a minor, a person subject to an order of the commencement of guardianship, overseas Chinese, foreign national, or mainland Chinese national, it shall submit a power of attorney properly plastered with a photocopy of the identification, as follows:
- Adult: front and back of the identity card;
- Minor: the front of the identity card of his/her legal representative, and the front of the identify card or household registry with notes of the Client, etc.;
- Person subject to an order of the commencement of guardianship: the front of the identity card etc. of each of the guardian and the Client, and sufficient proof of the guardian being the guardian of said person, including the court’s civil ruling, verification of civil ruling, household registry with notes etc.;
- Overseas Chinese: the front of his/her R.O.C. passport with Overseas Chinese Identity Endorsement, Overseas Chinese Identity Certificate, or the identification issued by an overseas mission etc.;
- Foreign national: the front of his/her foreign passport or Alien Resident Certificate; and
- Mainland Chinese national: the front of the Entry and Exit Permit for Mainland Chinese Nationals.
- Where the Client has changed his/her last name, first name, or whole name, a photocopy of the household registry recording the change or of the certificate of name change record, etc. shall be submitted.
- An original of the Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Authorized Representative (Attachment V).
- For each of the aforementioned applications made by him/her, the Authorized Representative shall present an original of his/her identity card for verification, and an original of the following identification and an application form properly plastered with a photocopy of the identification if an overseas Chinese, foreign national, or Mainland Chinese national:
- Overseas Chinese: the front of his/her R.O.C. passport with Overseas Chinese Identity Endorsement, Overseas Chinese Identity Certificate, or the identification issued by an overseas mission etc.
- Foreign national: the front of his/her foreign passport or Alien Resident Certificate
- Mainland Chinese national: the front of his/her Entry and Exit Permit for Mainland Chinese Nationals
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Fee schedule applicable to inquiries about account or trading data on the centralized securities exchange market:
- For inquiries made about account opening data or trading data within one year prior to the application date: no charge.
- For each inquiry about trading data more than one and not more than five years prior to the application date: a processing fee of NT$100 plus an additional annual computer processing fee of NT$100 are charged; any fraction of a year is deemed a year.
- For each inquiry about trading data more than five years prior to the application date: a processing fee of NT$100 plus an additional annual computer processing fee of NT$150 are charged; any fraction of a year is deemed a year.
- For printing the above inquiry results: no charge within ten pages (inclusive) and NT$5 per page above 10 pages. The relevant fees are payable by the Authorized Representative upon the processing.
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These Procedures shall take effect after having been submitted to and approved by the general manager. Subsequent amendments hereto shall be effected in the same manner.
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