Taiwan Stock Exchange - Rules & Regulations Directory
time:2019/12/15 10:10

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Title:

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 

Amended Date: 2018.10.12 
Categories: Securities Exchange Market > Trading > Securities Transaction

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    These procedures are established for investors to request information about accounts or transactions at the centralized securities exchange market.

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    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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    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 identity and submit the following documents:
      1. Application (as in Schedule 1, the form for adult) 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 legal guardian shall present their original National ID Card and the minor's original National ID Card or original Census Registration for verification of identification, and submit the following documents. In case parents of the minor cannot act as his or her agent at the same time, the original consent of one parent 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 evidence proving that a parent or other individual has sole custody may be submitted (which the original National ID Card will be returned after completion of verification):
      1. Application (as in Schedule 4, the form for minor) and photocopies of related documents for verification.
      2. Applicant's and his or her legal representative's or legal guardian's statement of collection, processing and utilization of personal information (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to legal guardianship, his or her legal guardian shall present their original National ID Card, the original identification document for the person subject to legal guardianship, and such other original documents sufficient to prove their legal guardianship for verification of identification, and submit the following documents:
      1. Application (as in Schedule 5, the form for person adjudicated to be subject to legal guardianship) and photocopies of related documents for verification.
      2. Statement of collection, processing and utilization of personal information of the legal guardian and person adjudicated to be subject to legal guardianship (as in Schedule 2).
    4. If the applicant is an overseas Chinese or foreigner or Mainland individual: The applicant who is an overseas Chinese shall present the original evidence proving his or her status as an overseas Chinese or the original document certifying his or her identification issued by the embassy or consulate for verification of identification; the applicant who is a foreigner shall present the original passport or original Alien Resident Certificate for verification of identification; the applicant who is a Mainland individual shall present the original entry permit issued to individual in the Mainland Area for verification of identification, and submit the following documents:
      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 asks another to make a request to the TWSE on his or her behalf:
    1. If the applicant is an adult, the authorized person shall present his or her and the applicant's original National ID Card for verification of identification and submit the following documents:
      1. Application (as in Schedule 1, the form for adult) and photocopies of related documents for verification.
      2. Power of attorney (as in Schedule 6), with the photocopy of the front side of the agent's National ID Card (glued, not taped).
      3. Applicant's and authorized agent's statement of collection, processing and utilization of personal information (as in Schedule 2).
    2. If the applicant is a minor, the authorized agent shall present his or her and the applicant's legal representative's or legal guardian's original National ID Card, and the minor applicant's original National ID Card or original Census Registration for verification of identification, and his or her legal representative's or legal guardian's original National ID Card for verification of identification, and submit the following documents. In case parents of the minor cannot act as his or her agent at the same time, the original consent of one parent 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 evidence proving that a parent or other individual has sole custody may be submitted (which the original National ID Card will be returned after completion of verification):
      1. Application (as in Schedule 4, for minor use) and photocopies of related documents for verification.
      2. Power of attorney used when the legal representative or legal guardian asks another to make a request to the TWSE on his or her behalf (as in Schedule 7), with the photocopy of the front side of the agent's National ID Card (glued, not taped).
      3. Statement of collection, processing and utilization of personal information of the legal representative or legal guardian, minor applicant and authorized agent (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to legal guardianship, his or her authorized agent shall present their and the legal guardian's original National ID Card, the original identification document for the person subject to legal guardianship, and such other original documents sufficient to prove their legal guardianship for verification, and submit the following documents:
      1. Application (as in Schedule 5, the form for person adjudicated to be subject to legal guardianship) and photocopies of related documents for verification.
      2. Power of attorney used when the legal guardian asks another to make a request to the TWSE on his or her behalf (as in Schedule 7), with the photocopy of the front side of the agent's National ID Card (glued, not taped).
      3. Statement of collection, processing and utilization of personal information of the legal guardian, person adjudicated to be subject to legal guardianship and authorized agent (as in Schedule 2).
    4. If the applicant is an overseas Chinese or foreigner or Mainland individual: If the applicant is an overseas Chinese, the agent shall present his or her original National ID Card and the original evidence proving the applicant's status as an overseas Chinese or the original document certifying the applicant's identification issued by the embassy or consulate for verification of identification; if the applicant is a foreigner, the agent shall present his or her original National ID Card and the applicant's original passport or original Alien Resident Certificate for verification of identification; if the applicant is a Mainland individual, the agent shall present his or her original National ID Card and the original entry permit issued to individual in the Mainland Area for verification of identification, and 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), with the photocopy of the front side of the agent's National ID Card (glued, not taped).
      3. Statement of collection, processing and utilization of personal information of the overseas Chinese or foreigner or Mainland individual and authorized agent (as in Schedule 2).
    5. If the applicant is a corporation/institution: The authorized person shall present his or her original National ID Card, a photocopy of evidence of registration of the corporation/institution, and a photocopy of the front of the responsible person's National ID Card; if the responsible person is an overseas Chinese or foreigner or Mainland individual, they shall prepare and submit the related supporting documents in accordance with the preceding paragraph for verification of identification and submit the following documents:
      1. Application for corporation/institution (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).
  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, legal guardian, or authorized person in case of a corporation/institution may visit the securities firm in person, with all required application documents, to make a request to receive information by mail.
    2. The securities firm shall appoint a registered and licensed salesperson to verify the identification of the applicant or his or her legal representative, legal guardian, or the authorized person in case of a corporation/institution, and the application documents. After the brokerage has verified the personal information of the applicant, a written statement will be issued and sent enclosed with a formal letter, together with application documents, to the TWSE to make a 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, legal guardian, or authorized person in case of a corporation/institution.
    4. Prior to issuance of its statement, the securities firm 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 firm may issue a written statement (as in Schedule 9):
        1. Application (as in Schedule 1, the form for adult) 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 statutory agent or legal guardian shall present their original National ID Card and the minor's original National ID Card or original Census Registration for verification of identification, and submit the following documents, for the securities firm to issue a written statement (as in Schedule 10). In case parents of the minor cannot act as his or her agent at the same time, the original consent of one parent 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 evidence proving that a parent or other individual has sole custody may be submitted (which the National ID Card original will be returned after completion of verification):
        1. Application (as in Schedule 4, the form for minor) and photocopies of related documents for verification.
        2. Statement of collection, processing and utilization of personal information of the applicant and his or her statutory agent or legal guardian and minor (as in Schedule 2).
      3. If the applicant is adjudicated to be subject to legal guardianship, his or her legal guardian shall present their original National ID Card, the original identification document for the person subject to legal guardianship, and such other original documents sufficient to prove their legal guardianship for verification of identification, and submit the following documents, for the securities firm to issue a written statement (as in Schedule 10):
        1. Application (as in Schedule 5, the form for person adjudicated to be subject to legal guardianship).
        2. Statement of collection, processing and utilization of personal information of the applicant and his or her legal guardian (as in Schedule 2).
      4. If the applicant is an overseas Chinese or foreigner or Mainland individual: The applicant who is an overseas Chinese shall present the original evidence proving his or her status as an overseas Chinese or the original document certifying his or her identification issued by the embassy or consulate for verification of identification; the applicant who is a foreigner shall present the original passport or original Alien Resident Certificate for verification of identification; the applicant who is a Mainland individual shall present the original entry permit issued to individuals in the Mainland Area for verification of identification, and submit the following documents, for the securities firm to issue a written statement (as in Schedule 9):
        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).
      5. If the applicant is a corporation/institution: The authorized person shall present his or her original National ID Card, a photocopy of evidence of registration of the corporation/institution, and a photocopy of the front of the responsible person's National ID Card (if the responsible person is an overseas Chinese or foreigner or Mainland individual, they shall prepare and submit the related supporting documents in accordance with subparagraph d above for verification of identification and submit the following original documents, for the securities firm to issue a written statement (as in Schedule 11):
        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 of the corporation/institution applicant and authorized person (as in Schedule 2).
    5. If the applicant described in subparagraphs (1) to (3) above has changed his or her or its name, the applicant shall also submit the original Census Registration or Household Certificate Transcript with note of the change, or original evidence of his or her name change; in case of an individual who has changed either his or her last name or first name or full name, the applicant shall also submit the original supporting documents for change to its registration, also in case of a corporation that has changed its name, for verification by the TWSE, with photocopies thereof kept for archiving.
    6. If the applicant described in subparagraphs (1) to (3) above 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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    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) online.
  2. The applicant must have the "On-line Stock-Dealing Certificate", "Citizen Digital Certificate" or "Ministry of Economic Affairs Certification Authority (MOEACA) card".

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    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 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) from the request date has a handling fee of TWD 100 per request and 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 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 NT$ 5 per page.
  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 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 payment will be separately issued and sent to the applicant.

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    These Procedures shall be published and implemented upon approval of the president. Subsequent amendments thereto shall be effected in the same manner.

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw