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Article NO. Content

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
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