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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 "agent") on behalf of an employee or a spouse or minor child thereof (hereinafter, collectively, the "principal"), per their request and authorization, to the Taipei Exchange (TPEx) regarding the principal's personal information such as account opening and trading data.
Article 2     If the principal grants the SITE or SICE general authorization, on multiple occasions within a certain period, to submit inquiries to the TPEx regarding the principal's personal information such as account opening and trading data, the principal shall have the authorization letter notarized or authenticated by a notary public. If the principal is a minor child of an employee of the agent, and the parents of the minor cannot represent him or her jointly, the representative parent shall additionally provide an independent representation agreement signed by the other non-representative parent, or otherwise one of the parents or another person representing the minor shall additionally furnish a document providing sufficient proof of custody.
    The certain period referred to in the preceding paragraph shall be agreed upon between the principal and the agent and need not be limited to the period of the employee's employment with the agent. Unless with respect to reduction of the certain period or termination of the authorization, of which the TPEx has been notified accordingly, no dispute between the parties or claim by either party may be used as a valid defense against the TPEx.
Article 3     When the principal authorizes the SITE or SICE to submit an inquiry application to the TPEx about the principal's personal information such as account opening and trading data with respect to the TPEx market, the SITE or SICE shall assign a specific person (who must be a current employee of the SITE or SICE; hereinafter, the "authorized representative") to submit the application at the site of the TPEx, together with the following documents:
  1. The original of the application form (Attachment 1).
  2. The original and a photocopy of the authorization letter (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); and, if the principal is a minor child whose parents cannot represent him or her jointly, the original and a photocopy of an independent representation agreement (Attachment 3-1) signed by the non-representative parent or otherwise the original and a photocopy of a document providing sufficient proof of custody of one of the parents or another person (the original(s) to be returned after verification).
  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. If the principal is a minor, or an overseas Chinese, foreigner, or Mainland Chinese, the following identification documents, as applicable, shall be submitted for verification:
    1. If a minor: The authorized representative shall present the originals of the national ID card of the minor's legal representative(s) or legal guardian and the minor's national ID card or a household certificate containing specific identity related notes; and, if the parents of the minor cannot represent him or her jointly, must submit the original of the independent representation agreement signed by the non-representative parent or otherwise the photocopy of the document providing sufficient proof of custody of one of the parents or another person.
    2. If an overseas Chinese, foreigner, or Mainland Chinese: If the principal is an overseas Chinese, the authorized representative shall present for verification the original of the principal's passport or a photo identification document of the principal issued by the relevant diplomatic mission; if the principal is a foreigner, the authorized representative shall present for verification the original of the Principal's passport or Alien Resident Certificate; if the applicant is a Mainland Chinese, the authorized representative shall present the original of the principal's Entry & Exit Permit for Mainland Chinese.
  5. If the principal has changed his or her name, the authorized representative shall additionally submit the original and a photocopy of either a household certificate containing a note specifying the change or of a name change certificate.
Article 4     The authorized representative assigned by the SITE or SICE to make an inquiry at the site of the TPEx shall present for verification the original of his or her national ID card or, if the authorized representative is an overseas Chinese, foreigner, or Mainland Chinese, the original of the passport, a photo identification document issued by the relevant diplomatic mission, the Alien Resident Certificate, or the Entry & Exit Permit for Mainland Chinese, as the case may be. After the required 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 will be placed on file for future reference:
  1. The original of the application form (Attachment 1).
  2. The photocopy of the authorization letter (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); and, if the principal is a minor child whose parents cannot represent him or her jointly, the photocopy of the independent representation agreement (Attachment 3-1) signed by the non-representative parent or otherwise the photocopy of the document providing sufficient proof of custody of one of the parents or another person.
  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. If the principal has changed his or her name, the additionally submitted photocopy of either the household certificate containing a note specifying the change or of the name change certificate.
     When having at hand all the required 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 proceed in accordance with the preceding paragraph and obtain the inquiry results.
Article 5     The following fee standards and calculation methods shall apply to the handling of information inquiries:
  1. If the applicant authorizes another person to submit an inquiry application at the TPEx:
    1. For an inquiry for securities account details or for information for a period starting from a date that is within 1 year before and including the application date, no fee will be charged.
    2. For an inquiry for information for a period starting from a date that is more than 1 year but less than 5 years before and including the application date, a handling fee of NT$100 will be charged for each inquiry, and additionally a computer processing fee of NT$100 will be charged for each year of the inquired information period (for this purpose, a period less than a full year will be deemed a full year).
    3. For an inquiry for information for a period starting from a date that is 5 years or more before and including the application date, a handling fee of NT$100 will be charged for each inquiry, and additionally a computer processing fee of NT$150 will be charged for each year of the inquired information period (for this purpose, a period less than a full year will be deemed a full year).
    4. To print out the inquiry results, no fee will be charged for a statement containing not more than 10 pages, and a fee of NT$5 will be charged per page thereafter.
  2. If the applicant submits an inquiry application online via the Investors' Personal Information Inquiry System:
    1. For an inquiry for securities account details or for information for a period starting from a date that is within 1 year before and including the application date, no fee will be charged.
    2. For an inquiry for information for a period starting from a date that is more than 1 year but less than 5 years before and including the application date, a handling fee of NT$100 will be charged for each inquiry, and additionally a computer processing fee of NT$100 will be charged for each year of the inquired information period (for this purpose, a period less than a full year will be deemed a full year).
    3. For an inquiry for information for a period starting from a date that is 5 years or more before and including the application date, a handling fee of NT$100 will be charged for each inquiry, and additionally a computer processing fee of NT$150 will be charged for each year of the inquired information period (for this purpose, a period less than a full year will be deemed a full year).
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.