Title：Taiwan Stock Exchange Corporation (the "TWSE") Procedures for Inquiries Regarding Account Opening and Trading Data of Employees of Securities Investment Trust/Consulting Enterprises and Their Spouses and Minor Children（2023.11.29）
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Categories：
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Securities Exchange Market > Trading > Securities Transaction
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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, 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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If the Client grants the SITE/SICE general authorization to make an inquiry to the TWSE on behalf of the Client multiple times within a certain period about his/her personal information such as account opening and trading data, the SITE/SICE shall appoint internal audit or legal compliance personnel to verify the identity of the Client, including employees, their spouses and minor children, and the fact of the commission. The above-mentioned certain period is determined by the Client and the Trustee, the SITE/SICE.
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 are invalid against the TWSE.
3
When appointing internal audit or legal compliance personnel to verify the identity of the Client's (including an employee's, his or her spouse's, and minor children's) power of attorney, the SITE/SICE shall inspect the original of his/her identity card; where the Client is an adult, a minor, a person subject to an order of the commencement of guardianship, overseas Chinese, foreign national, or Mainland Chinese national, the SITE/SICE shall inspect the following identification:
- Adult: an original copy of the identity card of the adult him/herself;
- Minor: an original copy of the identity card of the legal representative, and an original copy of either the identity card or household registry with notes of the minor him/herself;
- A person subject to an order of the commencement of guardianship if said person is the spouse of an employee and the employee is the guardian: an original copy of the identity card of each of the guardians and the person subject to said order, and an original copy of sufficient proof of the guardian being the guardian of said person, including the court’s civil ruling, verification of civil ruling, household registry with notes etc.;
- Overseas Chinese: an original copy of his/her R.O.C. passport with Overseas Chinese Identity Endorsement, Overseas Chinese Identity Certificate, or the identification issued by an overseas mission etc.;
- Foreign national: an original copy of either his/her foreign passport or his/her Alien Resident Certificate etc.; and
- Mainland Chinese national: an original copy of his/her Exit & Entry Permit for Mainland Chinese Nationals.
5
Fee schedule applicable to inquiries about account or trading data on the centralized securities exchange market:
- For inquiries made about account opening data or trading data within one year prior to the application date, free.
- 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.
- 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.
- For printing the above inquiry results, the first 10 pages are free (inclusive) and NT$5 per page thereafter. The relevant fees are payable by the Authorized Representative upon the processing.
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 hereto shall be effected in the same manner.