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友善列印
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Article NO. Content

Title:

Operating Rules of the Taiwan Stock Exchange Corporation  CH

Amended Date: 2020.12.17 (Articles 138 amended,English version coming soon)
Current English version amended on 2020.05.05 
Categories: Basic Laws and Regulations
Article 75-3     When a securities broker accepts an application to open an account on behalf of a trustee of trust property, the account name shall indicate that it is a segregated trust account, and the following documents shall be submitted:
  1. Where the trustee is a trust enterprise:
    1. Photocopy of the juristic person registration documentation of the trust enterprise and photocopy of the notice of issuance of uniform number for taxable entities issued by the tax authorities.
    2. Power of attorney and photocopies of the National Identity Cards of the representative of the juristic person and the attorney in fact.
    3. Where the settlor is a natural person, a photocopy of the person's National Identity Card; where it is a juristic person, a photocopy of the documentation of its juristic person registration.
    4. Summary terms and conditions contract for the trust.
  2. Where the trustee is not a trust enterprise:
    1. Where the settlor and trustee are natural persons, photocopies of their National Identity Cards; where they are juristic persons, photocopies of their juristic person registration documentation, and the power of attorney and photocopies of the National Identity Cards of the representative of the juristic person and the attorney in fact.
    2. Photocopy of the notice of issuance of uniform number for taxable entities issued by the tax authorities.
    3. Photocopy of the trust deed.
    Where a trading account under the preceding paragraph belongs to a charitable trust, a photocopy of the approval document by the competent authority for the target industry shall also be submitted.
    A securities broker shall make a detailed check of the documents related to opening of the segregated trust account, and shall accept orders to trade securities only after completing the account opening procedures and entering the account opening information into the computer files of the TWSE.
    Paragraph 1, subparagraph 1, and paragraph 3, do not apply when a settlor engages a securities broker to trade in listed securities on a fixed-term, fixed-amount basis by way of trust.