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Amendments

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  CH

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

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(2017.12.04)
Date:
1     These procedures are established for investors to request information about account for or transactions at the centralized securities exchange market.
2     Type of information to be requested:
  1. Details of securities account.
  2. Details of margin account.
  3. Information about securities transactions, including transaction records and consignment orders.
3     How to request information:
  1. Submit a request in person to the Taiwan Stock Exchange Corporation (the "TWSE"):
    1. If the applicant is an adult: The applicant shall present his or her National ID Card for verification of identification and submit the following documents.
      1. Application (for adult, as in Schedule 1).
      2. Statement of collection, processing, utilization of personal information (as in Schedule 2).
    2. If the applicant is a minor: His or her statutory agent or guardian shall present their National ID Card and the minor's National ID Card or Census Register 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 sole custody may be submitted (which original will be returned after completion of verification).
      1. Application (for minor, as in Schedule 4).
      2. Statement of collection, processing, utilization of personal information for statutory agent or guardian and minor (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to guardianship: His or her guardian shall present their National ID Card, the identity document for the person subject to guardianship, and such other documents sufficient to prove their guardianship for verification, and submit the following documents.
      1. Application (for person adjudicated to be subject to guardianship, as in Schedule 5).
      2. Statement of collection, processing, utilization of personal information for guardian and person adjudicated to be subject to guardianship (as in Schedule 2).
    4. If the applicant is an overseas Chinese or foreigner: The applicant shall present the evidence proving his or her status as overseas Chinese or Alien Resident Certificate or passport for verification, and submit the following documents.
      1. Application (as in Schedule 1).
      2. Statement of collection, processing, 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 National ID Card for verification and submit the following documents.
      1. Application (for adult, as in Schedule 1).
      2. Power of attorney (as in Schedule 6).
      3. Statement of collection, processing, utilization of personal information for applicant and authorized agent (as in Schedule 2).
    2. If the applicant is a minor: The authorized agent shall present his or her and the applicant's statutory agent's or guardian's National ID Card, and the minor's National ID Card or Census Register 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 sole custody may be submitted (which original will be returned after completion of verification).
      1. Application (for minor, as in Schedule 4).
      2. Power of attorney used when the statutory agent or guardian asks another to make a request to the TWSE on his or her behalf (as in Schedule 7).
      3. Statement of collection, processing, utilization of personal information for statutory agent or guardian, minor applicant and authorized agent (as in Schedule 2).
    3. If the applicant is adjudicated to be subject to guardianship: His or her authorized agent shall present their and the guardian's National ID Card, the identity document for the person subject to guardianship, and such other documents sufficient to prove their guardianship for verification, and submit the following documents.
      1. Application (for person adjudicated to be subject to guardianship, as in Schedule 5).
      2. Power of attorney used when the guardian asks another to make a request to the TWSE on his or her behalf (as in Schedule 7).
      3. Statement of collection, processing, utilization of personal information for guardian, person adjudicated to be subject to guardian and authorized agent (as in Schedule 2).
    4. If the applicant is an overseas Chinese or foreigner: The authorized agent shall present his or her National ID Card and the evidence proving the applicant's status as overseas Chinese or Alien Resident Certificate or passport for verification, and submit the following documents.
      1. Application (as in Schedule 1).
      2. Power of attorney (as in Schedule 6).
      3. Statement of collection, processing, utilization of personal information for overseas Chinese or foreigner and authorized agent (as in Schedule 2).
    5. If the applicant is a corporation/institution: The authorized person shall present his or her 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, the evidence proving his or her status as overseas Chinese or his or her Alien Resident Certificate or passport is required for verification) and submit the following documents.
      1. Application for corporation/institution (as in Schedule 8).
      2. Statement of collection, processing, utilization of personal information for 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 statutory agent, 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 identity of the applicant or his or her statutory agent, guardian, or the authorized person in case of a corporation/institution, and the application documents. Upon completion of verification, a written statement will be issued and sent enclosed to a formal letter, together with application documents, to the TWSE to make a request.
    3. The applicant or his or her statutory agent, guardian, or authorized person in case of a corporation/institution shall provide a pre-paid return envelope for registered mail to be used to mail the requested information to the applicant or his or her statutory agent, guardian, or authorized person in case of a corporation/institution.
    4. Prior to issue 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 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 (for adult, as in Schedule 1).
        2. Statement of collection, processing, utilization of personal information (as in Schedule 2).
      2. If the applicant is a minor: His or her statutory agent or guardian shall present their National ID Card and the minor's National ID Card or Census Register for verification, 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 sole custody may be submitted (which original will be returned after completion of verification).
        1. Application (for minor, as in Schedule 4).
        2. Statement of collection, processing, utilization of personal information for statutory agent or guardian and minor (as in Schedule 2).
      3. If the applicant is adjudicated to be subject to guardianship: His or her guardian shall present their National ID Card, the identity document for the person subject to guardianship, and such other documents sufficient to prove their guardianship for verification, and submit the following documents, for the securities firm to issue a written statement (as in Schedule 10).
        1. Application (for person adjudicated to be subject to guardianship, as in Schedule 5).
        2. Statement of collection, processing, utilization of personal information for guardian and person adjudicated to be subject to guardianship (as in Schedule 2).
      4. If the applicant is an overseas Chinese or foreigner: The applicant shall present the evidence proving his or her status as overseas Chinese or Alien Resident Certificate or passport for verification, and submit the following documents, for the securities firm to issue a written statement (as in Schedule 9).
        1. Application (as in Schedule 1).
        2. Statement of collection, processing, utilization of personal information (as in Schedule 2).
      5. If the applicant is a corporation/institution: The authorized person shall present his or her 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, the evidence proving his or her status as overseas Chinese or his or her Alien Resident Certificate or passport is required for verification) and submit the following documents, for the securities firm to issue a written statement (as in Schedule 11).
        1. Application for corporation/institution (as in Schedule 8).
        2. Statement of collection, processing, utilization of personal information for responsible person and authorized person (as in Schedule 2).
    5. The applicant shall provide a pre-paid return envelope for registered mail to be used by the TWSE to mail the requested information to the applicant.
  4. If the applicant described in subparagraphs (1) to (3) above has changed his or her or its name, the applicant shall also submit the Census Register or Household Certificate Transcript with note of the change, or evidence of his or her name change, in case of an individual who has changed either his or her last name or last name or full name, or the applicant shall also submit the supporting document for change to its registration, in case of a corporation that has changed its name, for verification by the TWSE.
4     Make a request online:
  1. The applicant may send a request online the Investors' Personal Information Inquiry System maintained by the TWSE at https://investor.twse.com.tw/, and complete the statement of collection, processing, utilization of personal information (as in Schedule 12) online.
  2. The applicant must have the "Securities Purchase Certificate", "Individual Certificate" or "Business Entity Certificate".
5     Investors may request information about account for 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 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 NTD 100 per request and a computer processing fee of NTD 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 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 per year (for this purpose a period less than a year will be deemed a full year).
    4. A printout of 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 at the Investors' Personal Information Inquiry System maintained by the TWSE:
    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 computer processing fee of NTD 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 older than five years from the request date has a computer processing fee of NTD 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 GUI for payment will be separately issued and sent to the applicant.
6     These Procedure shall be published and implemented upon approval of the General Manager. Subsequent amendments thereto shall be effected in the same manner.