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Amended Article

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  CH

Amended Date: 2020.06.10 
Categories: Securities Exchange Market > Trading > Securities Transaction
1     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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2     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 notarized or 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.
    If the Client is a minor child of a Trustee employee and the parents of the child cannot represent him jointly, the Client shall provide an independent representation agreement or sufficient proof of one of the parent's or another person’s custody.
    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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3     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 notarization or 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 his/her identity card; where the Client is 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:
  1. Minor: an original copy of the identity card of the legal representative or guardian, and an original copy of either the identity card or household registry of the minor;
  2. A person subject to an order of the commencement of guardianship: an original copy of the identity card of the guardian, an original copy of the identification of the person subject to said order, and an original copy of relevant sufficient proof of the guardian being the guardian of said person;
  3. Overseas compatriot: an original copy of its Overseas Compatriot Identity Certificate or an original copy of the identification issued by an overseas mission;
  4. Foreign national: an original copy of either its passport or its Alien Resident Certificate;
  5. Mainland Chinese national: an original copy of its Exit & Entry Permit for Mainland Chinese Nationals; and
    Where the Client has changed its last name, first name, or whole name, an original copy of the household registry recording the change or the certificate of name change record shall be submitted for identity verification.
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4     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:
  1. An original copy of the application form (Attachment I) and relevant verification documents.
  2. 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:
    1. 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, notarized or authenticated by a notary public (Attachments II and III); if the Client is a minor child and its parents cannot represent him/her 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’ or another person’s custody (the original copy to be returned after verification).
    2. 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 (Attachments IV and V); if the Client is a minor child and its parents cannot represent him jointly, an original of an independent representation agreement (Attachment V-1); or an original of sufficient proof of one of the parents’ or another person’s custody; an original of an undertaking by the SITE/SICE (Attachment VI) bearing the company and representative seals, and signatures and seals of the internal auditing officer or legal compliance officer etc.
  3. Where the Client is 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 photocopy of the following identification:
    1. Minor: the identity card or household registry of its legal representative or guardian, and of the minor itself;
    2. Person subject to an order of the commencement of guardianship: identification of the guardian and person subject to said order, and relevant sufficient proof of the guardian being the guardian of said person;
    3. Overseas compatriot: Overseas Compatriot Identity Certificate or the identification issued by an overseas mission;
    4. Foreign national: passport or Alien Resident Certificate
    5. Mainland Chinese national: Entry and Exit Permit for Mainland Chinese Nationals.
  4. Where the Client has changed its last name, first name, or whole name, a photocopy of the household registry recording the change or of the certificate of name change record shall be submitted.
  5. 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)
    The Authorized Representative making the aforementioned application shall present an original of its identity card for verification, and an original of the following identification if an overseas compatriot, foreign national, or Mainland Chinese national:
  1. Overseas compatriot: Overseas Compatriot Identity Certificate or the identification issued by an overseas mission
  2. Foreign national: passport or Alien Resident Certificate
  3. Mainland Chinese national: Entry and Exit Permit for Mainland Chinese Nationals
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5     Fee schedule applicable to inquiries about account or trading data on the centralized securities exchange market:
  1. For inquiries made about account opening data or trading data within one year prior to the application date, free.
  2. 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.
  3. 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.
  4. 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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6     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 here to shall be effected in the same manner.
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