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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Standards Governing Principal Identification and Management of Credit Line Categorization in the Processing by Securities Firms of Account Opening  CH

Amended Date: 2019.12.27 
Categories: Market Supervision > Regulation of Securities Firms
Article 2     A securities firm shall develop the relevant operating procedures of online account opening within its internal control system. When handling such account opening, it shall verify the customer’s identity and documentation, and the following third-party authentication procedure shall first be completed or the customer’s identification shall first be produced for verification:
  1. The identity shall be verifiedby the settlement bank.
  2. The citizen digital certificate, bank account information or wafer debit card shall be sent online.
  3. A photograph from which both the national I.D. card and face are identifiable, together withinformation on the designated debit account of the customer’s ledgers of the securities firm's settlement account, shall be sent online.
  4. The identity shall be verifiedby video imaging.
  5. The identity shall be verifiedby other means.
    If the identity is verified in accordance with subparagraphs 1 to 5 of the preceding paragraph, the securities firm shall send a One Time Password, OTP, by text or make a personal telephone call as a follow-up to reinforce validation.