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Amendments

Title:

Taiwan Stock Exchange Corporation Procedures for Decedents to Request Account or Transaction Information at the Centralized Securities Exchange Market  CH

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

Title: Taiwan Stock Exchange Corporation Procedures to Request a Decedent's Account or Transaction Information at the Centralized Securities Exchange Market(2018.07.17)
Date:
1     Applicant: Requests to be made by administrator or decedent.
  1. An administrator, to be elected by the family council or appointed by the court, shall submit:
    1. Original census register or original domicile de-registration document with a note stating death of the decedent.
    2. The administrator's own original identifications.
    3. Original written evidence of selection by the family council or appointment by the court.
  2. A heir shall submit:
    1. Original census register or original domicile de-registration document with a note stating death of the decedent.
    2. The heir's current original census register.
    3. Inheritance tree (as in Schedule 1).
    4. The heir's original identifications.
2     How to request information:
  1. Submit a request in person to the Taiwan Stock Exchange Corporation (TWSE):
    1. An adult applicant shall visit the TWSE with his or her original National ID, complete and submit the Application (as in Schedule 2), Statement of collection, processing, utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application. Upon verification of the above, the TWSE will keep and archive these documents for further use.
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (1), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
    1. If an adult applicant is unable to submit the request in person, he or she may appoint an agent to act on his or her behalf.
    2. The agent shall visit the TWSE with his or her original National ID as well as the applicant's original National ID, complete and submit the Application (as in Schedule 2), applicant's Power of Attorney (as in Schedule 4), with the photocopy of the front side of the agent's National ID properly glued on, applicant's and agent's Statements of collection, processing, utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application. Upon verification of the above, the TWSE will keep and archive these documents for further use.
    3. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (2), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
    1. If an adult applicant is unable to submit the request in person to the TWSE, he or she may visit the securities broker in person with his or her original National ID to have the broker to verify his or her identification, complete and submit the Application for information about decedent (as in Schedule 2), Statement of collection, processing, utilization of personal information (as in Schedule 3), and provide such supporting documents as stated in the Application for further action.
    2. If the applicant is a minor, a person declared by a court to be under guardianship, an overseas Chinese or foreigner or a Mainland individual, the regulations of Article 3, paragraph (3), subparagraphs b, c and d of the Taiwan Stock Exchange Corporation Procedures for Investors to Request Account or Transaction Information at the Centralized Securities Exchange Market shall be referred to for documents to be submitted for review and verification.
    3. The securities broker shall appoint a registered and licensed salesperson to verify the identity of the applicant and the application documents before issuing the Certificate (as in Schedule 5). The broker shall send a formal letter, enclosed with the original Application, original Certificate, the applicant's original Statement of collection, processing, utilization of personal information (as in Schedule 3), and such supporting documents as stated in the Application, to the TWSE to make the request.
    4. The applicant shall provide a pre-paid return envelope for registered mail to be used by the TWSE to mail the requested information directly to the applicant.
  2. If the applicant in paragraphs (1) to (3) 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.
3     Investors may request information about account with or transactions 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 make a request to the securities firm to receive information by mail:
    1. A request for account opening information or information about transactions within one year before the request date is free of charge.
    2. A request for information about transactions between one to five years (not including the anniversary date) before the request date has a handling fee of NTD 100 per request and a computer processing fee of NTD 100 a year based on the number of years to which the request pertains (for this purpose a period less than a year will be deemed a full year).
    3. A request for information about transactions older than five years from the request date has a handling fee of NTD 100 per request and a computer processing fee of NTD 150 a year based on the number of years to which the request pertains (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 NTD 5 per page.
  2. If the applicant makes a request online at the Investor's Personal Information Inquiry System maintained by the TWSE:
    1. A request for account opening information or information about transactions within one year before the request date is free of charge.
    2. A request for information about transactions between one to five years (not including the anniversary date) before the request date has a computer processing fee of NTD 100 a year based on the number of years to which the request pertains (for this purpose a period less than a year will be deemed a full year).
    3. A request for information about transactions older than five years from the request date has a computer processing fee of NTD 150 a year based on the number of years to which the request pertains (for this purpose a period less than a year will be deemed a full year).
  3. If fees are required for a request to receive information about transactions by mail or an online request, payment shall be made by wire transfer to the following account: Bank Name: Cathay United Bank, Guanqian Branch (Bank Code 013); Beneficiary's Name: Taiwan Stock Exchange Corporation; Account No.: 001030912922. A Government Uniform Invoice for the payment will be separately issued and sent.
4     These Procedures shall be published and implemented upon approval of the General Manager. Subsequent amendments thereto shall be effected in the same manner.