Article Content

Title:

Taiwan Stock Exchange Corporation's ("TWSE") Procedures for Inquiries Regarding Account Opening and Trading Data of Employees of Securities Investment Trust Enterprises and Their Spouses and Minor Children 

Amended Date: 2018.10.19 
Categories: Securities Exchange Market > Trading > Securities Transaction
1     These Procedures are established for the handling of inquiries made by a securities investment trust enterprise ("the SITE/SICE" or "the Trustee") on behalf of its employees and their spouses and minor children (hereunder collectively referred to as "the Client") with the TWSE about the Clients' personal information such as account opening and trading data.
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2     The Client which, for multiple times within a certain period, grants the SITE/SICE general authorization to inquire of the TWSE about its personal information such as account opening and trading data shall have the authorization notarized or authenticated by a notary public. If the Client is a minor child of a Trustee employee and the parents of the child cannot represent him jointly, the Client shall provide an independent representation agreement or sufficient proof of one of the parent's or another person's custody.
    The above-mentioned certain period is set by the Client and the Trustee and not limited to the employee's employment period. Unless the certain period is reduced or the commission is terminated and the TWSE is notified accordingly, disputes between the parties and either party's claims against the TWSE are invalid.
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3     Where the Client commissions the SITE/SICE to inquire about its personal information such as account opening and personal trading data, the SITE/SICE shall appoint specific personnel (limited to the current employees of the SITE/SICE and hereafter referred to as "the Authorized Representative") and include the following documents in its application to the TWSE:
  1. An original copy of the application form (Attachment I) and a photocopy of the relevant verification document.
  2. An original copy and a photocopy of the authorization and an original copy of a Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Client notarized or authenticated by a notary public (Attachments II and III); if the Client is a minor child and his parents cannot represent him jointly, an original copy and a photocopy of an independent representation agreement (Attachment III-1); or an original copy and a photocopy of sufficient proof of one of the parent's or another person's custody (the original copy to be returned after verification).
  3. An original copy of a Notification and Letter of Consent in Regard to the Collection , Processing and Use of Personal Information, as given to the Authorized Representative (Attachment IV).
  4. Where the Client is a minor, a person subject to an order of the commencement of guardianship, overseas compatriot or foreign national, or mainland Chinese national, it shall submit the following identification for verification:
    1. Minor: Its legal representative or guardian shall present an original copy of the legal representative's or guardian's identity card and an original copy of the minor's identity card or household registry.
    2. Person subject to an order of the commencement of guardianship: The guardian shall present an original copy of the guardian's identity card, an original copy of the identification of the person subject to said order, and an original copy of relevant sufficient proof of the guardian being the guardian of said person.
    3. Overseas compatriot or foreign national, or Mainland Chinese national: Where the applicant is an overseas compatriot, it shall present an original copy of its Overseas Compatriot Identity Certificate or of its identification as issued by an R.O.C. diplomatic mission; where the applicant is a foreign national, it shall present an original copy of its passport or Alien Resident Certificate; where the applicant is a Mainland Chinese national, it shall present an original copy of its Entry and Exit Permit for Mainland Chinese Nationals.
    Where the Client has changed its last name, first name or whole name, an original copy of the household registry recording the change or of the certificate of name change record shall be submitted to the TWSE for identity verification.
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4     The Authorized Representative assigned by the SITE/SICE to the TWSE shall present the original copy of his R.O.C. personal identification for verification. After the documents listed in Article 3 as submitted by the Authorized Representative are verified as true by the TWSE, the application will be processed, and the following documents shall be archived for future reference:
  1. An original copy of the application form (Attachment I) and a photocopy of the relevant verification dcument.
  2. A a photocopy of the authorization and of a Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Client notarized or authenticated by a notary public (Attachments II and III); if the Client is a minor child and his parents cannot represent him jointly, an original copy and a photocopy of an independent representation agreement (Attachment III-1); or sufficient proof of one of the parent's or another person's custody.
  3. An original copy of a Notification and the Letter of Consent in Regard to the Collection, Processing and Use of Personal Information, as given to the Authorized Representative (Attachment IV).
  4. Where the Client is a minor, a person subject to an order of the commencement of guardianship, overseas compatriot or foreign national, or mainland Chinese national, it shall submit the following identification for verification:
    1. Minor: Its legal representative or guardian shall present an original copy of the legal representative's or guardian's identity card and an original copy of the minor's identity card or household registry.
    2. Person subject to an order of the commencement of guardianship: The guardian shall present an original copy of the guardian's identity card, an original copy of the identification of the person subject to said order, and an original copy of relevant sufficient proof of the guardian being the guardian of said person.
    3. Overseas compatriot or foreign national, or Mainland Chinese national: Where the applicant is an overseas compatriot, it shall present an original copy of its Overseas Compatriot Identity Certificate or of its identification as issued by an R.O.C. diplomatic mission; where the applicant is a foreign national, it shall present an original copy of its passport or Alien Resident Certificate; where the applicant is a Mainland Chinese national, it shall present an original copy of its Entry and Exit Permit for Mainland Chinese Nationals.
  5. A photocopy of the documentary proof presented in accordance with Article 3, paragraph B by the client which has changed its last name, first name or whole name.
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5      Fee schedule applicable to inquiries about account or trading data on the centralized securities exchange market:
  1. For inquiries made about account opening data or trading data within one year prior to the application date, free.
  2. 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.
  3. 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.
  4. For printing the above inquiry results, free 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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6     These Procedures shall take effect after having been submitted to and approved by the general manager and submitted to the competent authority for recordation. Subsequent amendments thereto shall be effected in the same manner.
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