| Title： |
Operating Rules of the Taiwan Stock Exchange Corporation(2014.03.24) |
| Date： |
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Article 14
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Securities firms participating in the Exchange shall complete and submit three copies each of the application, executed market usage contract, and the following documents to the TWSE:
- Photocopy of securities firm permit.
- Photocopy of documentary proof following company registration (or amendment registration) (if the applicant is not organized as a company and is operated on a concurrent basis by a financial institution, submit documentary proof of the approval for its establishment).
- Articles of incorporation, business plan, business bylaws, and shareholders list and their respective shareholdings.
- List of directors, supervisors, and managers, registration forms of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
- List of various levels of associated persons, registration form of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 54 of the Securities and Exchange Act.
- Financial reports audited and attested by a certified public accountant (CPA).
The format of the registration forms referred to in subparagraphs 4 and 5 of the preceding paragraph shall be prescribed by the Competent Authority.
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Article 21
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Securities firms which have been approved by the Competent Authority to establish domestic branch offices and have been issued such permit certificates shall submit in duplicate the following documents to the TWSE for recordation before commencing business:
- Photocopy of permit certificate for establishment of branch office.
- List of directors, supervisors, and managers, registration forms of same, photocopy of National Identity Card or household registration certificate, and declaration that declaring that the person does not fall within any of the categories under Article 53 of the Securities and Exchange Act.
- List of various levels of associated persons, registration form of same, photocopy of National Identity Card or household registration certificate, and declaration that the person does not fall within any of the categories under Article 54 of the Securities and Exchange Act.
Where there are changes in the business location of a domestic branch office or its manager, within 5 days of such changes, three copies of the application for amendment registration, along with the relevant documentary evidence and registration fees for amendment, shall be sent to the TWSE for issuance of its opinion letter, and then transferred by the TWSE to the Competent Authority for its approval and registration.
The provisions of paragraph 2 of Article 20 of these Rules shall apply to the business locations and facilities of the domestic branch office of a securities firm.
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Article 75-1
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A securities broker opening an account for a principal shall comply with the following:
- Except the following situation, if the principal is a natural person, he/she shall open the account against the original identity card and put signature/affix seal personally:
- where the principal is of no legal capacity or limited legal capacity, or has been declared by a court to be placed under assistance, his statutory agent, guardian, or assistant shall open the account against the original identity cards of the statutory agent, guardian, or assistant and that of the principal and put the signature/affix seal personally. If the principal has not received an identity card yet, a household registration certificate may be supplied instead. The guardian or assistant shall also provide documentary evidence that he or she is the guardian or assistant.
- where the principal is a person dispatched by a juristic person to work overseas, he may entrust an agent to open the account against the original identity cards of the agent and the principal as well as the power of attorney and certificate of employment overseas issued by the said juristic person, both legalized by an ROC representative office or an institution entrusted by such office.
- (deleted).
- Where the principal is a juristic person, the authorized person shall provide a copy of the registration document of the juristic person, a copy of the notice of issuance of uniform number for taxable entities issued by the tax authorities (a profit-seeking enterprise may be exempt from submitting such copy of notice), the power of attorney, and photocopies of the identification cards of the responsible person of the juristic entity and that of the authorized person for processing. The securities broker shall confirm in writing that the account is opened through authorization.
- If the principal has engaged a custodian institution to open the account on its behalf, or submits proof that settlement is to be handled on its behalf by a custodian institution, it is not necessary to confirm in writing that the account is opened through authorization.
- Where the principal is a group that is not incorporated as a juristic person, it shall open the account in the individual name of its responsible person, and include the group name side-by-side therewith in the account name. To open the account, the responsible person shall submit a photocopy of certification that the group has been registered with the competent authority (or of its approval for establishment, recordation, or other evidentiary document of its registration), photocopy of the notice of issuance of a uniform number for tax withholding entities issued by the tax authorities (if exempt from income tax withholding, one copy of the Certificate of Exemption from Tax Withholding must also be submitted), and a photocopy of the National Identity Card of the responsible person. At the time the account is opened, a central securities depository account shall also be opened, and the securities shall be deposited. However, the account may be used only for sell orders, and may not be used for buy orders, and when the securities broker accepts a sell order, the broker shall first collect in full the securities to be sold before it may proceed to place a quote for the sale.
- Except for certain account numbers that it may handle as an account without a number under exceptional circumstances for which reasons have been noted, the securities broker shall assign an account number sequentially to each account in the order opened; provided that numbers cancelled in (calendar) years other than the current year may be used sequentially.
A securities broker shall ensure that the items supplied on the applications are error free and complete. It shall not accept any order to trade in or subscribe to securities from the principal unless it completes the account opening process and the written confirmation procedures referred to in subparagraphs 2 of the preceding paragraph and keys-in the account information and account number into the computer system of the TWSE.
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