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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 securities account and trading data, the principal shall have the authorization letter notarized or attested 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.
    If the principal grants the SITE or SICE authorization on a single occasion to submit an inquiry to the TPEx regarding the principal's personal information such as securities account and trading data, the SITE or SICE shall assign qualified personnel of its own such as internal audit personal or legal compliance personnel to carry out authentication procedures, to verify the identity of the principal and to confirm the accuracy of the content of the principal's authorization.
    Unless with respect to reduction of the certain period referred to in paragraph 1 or termination of the authorization, of which the TPEx has been notified accordingly, no dispute between the parties may be raised against the TPEx.
Article 3     The principal shall present the following identity documents for notarization or attestation by a public notary, or present them for authentication of the principal's identity by the SITE or SICE itself:
  1. If the principal is an adult: Present the original of the national ID card.
  2. If the principal is a minor: 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. If the legal representative(s) or legal guardian is an overseas Chinese, foreign national, or Mainland Chinese, present the original of their passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese. If the parents cannot jointly represent the minor, it is necessary to present the original of the independent representation agreement signed by the non-representative parent (Attachment 3-1 or 5-1), or documentation providing sufficient proof of custody of one of the parents or another person.
  3. If the principal is an overseas Chinese, foreign national, or Mainland Chinese: If the principal is an overseas Chinese, present the original of the principal's passport or photo identification document issued by the relevant diplomatic mission; if the principal is a foreigner national, present the original of the principal's passport or Alien Resident Certificate; if the principal is a Mainland Chinese, present the original of the principal's Entry & Exit Permit for Mainland Chinese.
  4. If the principal has been judicially declared to be subject to legal guardianship: Present the guardian's original National ID Card, the original identification document for the person subject to legal guardianship, and such other original documentation sufficient to prove that the guardian is the legal guardian of the person declared under guardianship. If the guardian is an overseas Chinese, foreign national, or Mainland Chinese, present the original of the guardian's passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese.
  5. If the principal has changed his or her name, additionally present the original of a household certificate containing a note specifying the change or of a name change certificate.
Article 4     When the principal authorizes the SITE or SICE to submit an inquiry application to the TPEx about the principal's personal information such as securities account 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 visit the site of the TPEx to submit the application, together with the documents listed below, and to collect the results of the inquiry:
  1. The original of the application form (Attachment 1).
  2. If notarization or attestation is done by a public notary:
    1. The original and a photocopy of the authorization letter notarized or attested by a notary public (Attachments 2 and 3); if the principal is a minor child whose parents cannot represent him or her jointly, present 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; if the principal has been judicially declared to be subject to legal guardianship, present the original and a photocopy of documentation sufficient to prove that the guardian is the legal guardian of the person declared under guardianship. (the original(s) will be returned after verification; photocopies shall be stamped with a stamp certifying that they are true copies of the original)
    2. The original of the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information of the principal (including the legal representative or guardian) and the authorized representative. (Attachment 2, page 2, Attachment 3, page 2)
  3. If authentication is done by the SITE or SICE itself:
    1. The original of the authorization letter granting authorization on a single occasion (Attachments 4, 5); if the principal is a minor child whose parents cannot represent him or her jointly, the original of an independent representation agreement (Attachment 5-1) 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; if the principal has been judicially declared to be subject to legal guardianship, present the original and a photocopy of documentation sufficient to prove that the guardian is the legal guardian of the person declared under guardianship. (the original(s) will be returned after verification; photocopies shall be stamped with a stamp certifying that they are true copies of the original)
    2. Photocopies of the identification documents listed in the preceding article. (photocopies shall be stamped with a stamp certifying that they are true copies of the original)
    3. The original of the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information of the principal (including the legal representative or guardian) and the authorized representative. (Attachment 4, page 2, Attachment 5, page 2, Attachment 6)
    4. The original of the Undertaking issued by the SITE or SICE (Attachment 7), which shall be stamped with seals of the company and its responsible person, and signed and sealed by its chief internal auditor or chief legal compliance officer.
  4. 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. (the original(s) will be returned after verification; photocopies shall be stamped with a stamp certifying that they are true copies of the original)
Article 5     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, foreign national, 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 4 as submitted by the authorized representative are verified as true by the TPEx, the application will be processed.
     When having at hand all the required documents listed in Article 4, 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 6     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 7     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.