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Article 1     These Procedures are adopted for the handling of inquiries submitted by a securities investment trust enterprise or securities investment consulting enterprise (hereinafter, "the SITE or SICE", i.e. the trustee) on behalf of an employee or a spouse or minor child thereof (hereinafter, collectively, "the client") to the Taipei Exchange (TPEx) regarding the client's personal information such as account opening and trading data.
Article 2     A client who grants the SITE or SICE general authorization to inquire, on multiple occasions within a certain period, with the TPEx regarding the client's personal information, such as account opening and trading data, shall have the authorization notarized or authenticated by a notary public. If the client is a minor child of an employee of the trustee, and the parents of the child cannot represent him jointly, the client shall additionally provide an independent representation agreement or a document providing sufficient proof of one of the parent's custody.
    The certain period referred to in the preceding paragraph shall be agreed upon between the client and the trustee and need not be limited to the employee's employment period. Unless the certain period is reduced or the authorization is terminated and the TPEx is notified accordingly, any disputes between the parties and claims by either party against the TPEx shall be null and void.
Article 3     When the client authorizes the SITE or SICE to inquire about its personal information at the TPEx, such as account opening and personal trading data, the SITE or SICE shall assign a specific person (who must be a current employee of the SITE or SICE; hereinafter, "the authorized representative") and shall submit the following documents in its application to the TPEx:
  1. The original of the application form (Attachment 1).
  2. The original and a photocopy of the authorization (including a Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information) notarized or authenticated by a notary public (Attachments 2 and 3); if the client is a minor child whose parents cannot represent him or her jointly, an original and a photocopy of an independent representation agreement (Attachment 3-1) or an original and a photocopy of a document providing sufficient proof of one of the parent's custody.
  3. The original of the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information, as given to the authorized representative (Attachment 4).
  4. A client who has changed his or her name shall additionally submit the original and a photocopy of either a household certificate specifying the change or of a name change certificate.
Article 4     The Authorized Representative assigned by the SITE or SICE to the TPEx shall present the original of his or her national ID card for verification. After the documents listed in Article 3 as submitted by the authorized representative are verified as true by the TPEx, the application will be processed, and the following documents shall be placed on file for future reference:
  1. The original of the application form (Attachment 1).
  2. A photocopy of the authorization (including the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information) notarized or authenticated by a notary public (Attachments 2 and 3); if the client is a minor child and his parents cannot represent him jointly, a photocopy of an independent representation agreement (Attachment 3-1) or a photocopy of a document providing sufficient proof of one of the parent's custody.
  3. The original of the Notification and Letter of Consent in Regard to the Collection, Processing and Use of Personal Information, as given to the authorized representative (Attachment 4).
  4. A client who has changed his or her name shall additionally submit the original and a photocopy of either a household certificate specifying the change or of a name change certificate.
    After submitting all the documents listed in Article 3, the authorized representative may use the TPEx e-investor system (https://e-investor.tpex.org.tw/) to submit an inquiry application, and then appear in person at the TPEx to obtain the inquiry results in accordance with the provisions of the preceding paragraph.
Article 5     There is no fee for inquiries regarding account opening data, or for inquiries regarding trading data that is from within 1 year prior to the application date. For inquiries about trading data that is from earlier than 1 year prior to the date of application, a processing fee will be charged and is payable by the authorized representative at the time of application. The fee schedule will be determined by the TPEx.
Article 6     These Procedures, and any amendments hereto, shall be implemented after approval by the TPEx president, and shall be submitted to the competent authority for recordation.