| Title： |
Taiwan Stock Exchange Corporation ("TWSE") Procedures for Inquiries Regarding Account Opening and Trading Data of Employees of Securities Investment Trust Enterprises and Their Spouses and Minor Children(2021.07.12) |
| Date： |
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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 matters pertaining to the Clients' personal information such as account opening and trading data.
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If the Client grants the SITE/SICE general authorization to make an inquiry to the TWSE on behalf of the Client for multiple times within a certain period about its personal information such as account opening and trading data, the SITE/SICE shall have the power of attorney authenticated by a notary public. The above-mentioned certain period is determined by the Client and the Trustee, the SITE/SICE, and not limited to the employment period of the employee of the Trustee.
If the Client grants the SITE/SICE a one-time authorization to make an inquiry to the TWSE on behalf of the Client about its personal information such as account opening and trading data, the SITE/SICE shall appoint internal auditing personnel or legal compliance personnel to verify the identity of the Client, including its employees, spouse and minors, and the fact of the commission.
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 against the TWSE are invalid against the TWSE.
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When delivering the Client’s power of attorney (including an employee, the spouse, and a minor child of the Client) to a notary public for authentication, or appointing an internal auditing personnel or legal compliance personnel to verify the Client's power of attorney (including an employee, the spouse, and a minor child of the Client), the SITE/SICE shall inspect the original of its identity card; where the Client is an adult, a minor, a person subject to an order of the commencement of guardianship, overseas compatriot, foreign national, or Mainland Chinese national, the SITE/SICE shall inspect the following identification:
- Adult: an original copy of the identity card of the adult itself;
- 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 itself;
- 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, civil ruling confirmation, household registry with notes etc.;
- Overseas compatriot: an original copy of its R.O.C. passport with Overseas Compatriot Identity Endorsement, Overseas Compatriot Identity Certificate, or the identification issued by an overseas mission etc.;
- Foreign national: an original copy of either its foreign passport or its Alien Resident Certificate etc.;
- Mainland Chinese national: an original copy of its Exit & Entry Permit for Mainland Chinese Nationals.
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The SITE/SICE accepting the commission of the Client and applying for inquiring on the Client’s behalf about its 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 SITE/SICE, 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;
- Power of attorney, Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Client, or custody documents etc.:
- General authorization: an original and a photocopy of the power of attorney, and an original 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., authenticated by a notary public (Attachments II: Form for employees and their spouse; Attachment III: Form for minor children); if the Client is a minor child and its parents cannot represent it jointly, an original and a photocopy of an independent representation agreement (Attachment III-1), or an original copy or a photocopy of sufficient proof of one of the parents’ right to exercise sole custody (the original copy to be returned after verification), must be submitted;
- One-time authorization: an original of the Power of Attorney and an original of the Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information of the Client etc. (Attachments IV: Form for employees and their spouse; Attachment V: Form for minor children); if the Client is a minor child and its parents cannot represent it jointly, a photocopy of an independent representation agreement (Attachment V-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 SITE/SICE (Attachment VI) bearing the company and responsible person seals, and signatures and 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 compatriot, foreign national, or mainland Chinese national, it shall submit a power of attorney properly attached with a photocopy of the identification, as follows:
- Adult: front and back of the identity card;
- Minor: the front of the identity card of its 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, civil ruling confirmation, household registry with notes etc.;
- Overseas compatriot: the front of its R.O.C. passport with Overseas Compatriot Identity Endorsement, Overseas Compatriot Identity Certificate, or the identification issued by an overseas mission etc.;
- Foreign national: the front of its foreign passport or Alien Resident Certificate;
- Mainland Chinese national: the front of the Entry and Exit Permit for Mainland Chinese Nationals.
- Where the Client has changed its last name, first name, or whole name, an original copy and photocopy of the household registry recording the change or of the certificate of name change record etc. shall be submitted in the event of general authorization, and a photocopy of the household registry recording the change or of the certificate of name change record etc. shall be submitted in the event of one-time authorization, for verification by the TWSE, which will retain and archive a photocopy of each relevant document for reference.
- 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 VII).
- For each of the aforementioned applications made by it, the Authorized Representative shall present an original of its identity card for verification, and an original of the following identification and an application form properly attached with a photocopy of the identification if an overseas compatriot, foreign national, or Mainland Chinese national:
- Overseas compatriot: the front of its R.O.C. passport with Overseas Compatriot Identity Endorsement, Overseas Compatriot Identity Certificate, or the identification issued by an overseas mission etc.;
- Foreign national: the front of its foreign passport or Alien Resident Certificate;
- Mainland Chinese national: the front of its 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, free;
- 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, 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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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 hereto shall be effected in the same manner.
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