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Article NO. Content

Title:

Taiwan Stock Exchange Corporation's ("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: 2018.10.19 
Categories: Securities Exchange Market > Trading > Securities Transaction
3     Where the Client commissions the SITE/SICE to inquire about its personal information such as account opening and personal trading data, the SITE/SICE shall appoint specific personnel (limited to the current employees of the SITE/SICE and hereafter referred to as "the Authorized Representative") and include the following documents in its application to the TWSE:
  1. An original copy of the application form (Attachment I) and a photocopy of the relevant verification document.
  2. An original copy and a photocopy of the authorization and an original copy of a 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 his parents cannot represent him jointly, an original copy and a photocopy of an independent representation agreement (Attachment III-1); or an original copy and a photocopy of sufficient proof of one of the parent's or another person's custody (the original copy to be returned after verification).
  3. An original copy of a Notification and Letter of Consent in Regard to the Collection , Processing and Use of Personal Information, as given to the Authorized Representative (Attachment IV).
  4. Where the Client is a minor, a person subject to an order of the commencement of guardianship, overseas compatriot or foreign national, or mainland Chinese national, it shall submit the following identification for verification:
    1. Minor: Its legal representative or guardian shall present an original copy of the legal representative's or guardian's identity card and an original copy of the minor's identity card or household registry.
    2. Person subject to an order of the commencement of guardianship: The guardian shall present an original copy of the guardian's identity card, 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 or foreign national, or Mainland Chinese national: Where the applicant is an overseas compatriot, it shall present an original copy of its Overseas Compatriot Identity Certificate or of its identification as issued by an R.O.C. diplomatic mission; where the applicant is a foreign national, it shall present an original copy of its passport or Alien Resident Certificate; where the applicant is a Mainland Chinese national, it shall present an original copy of its Entry and Exit Permit for Mainland Chinese Nationals.
    Where the Client has changed its last name, first name or whole name, an original copy of the household registry recording the change or of the certificate of name change record shall be submitted to the TWSE for identity verification.