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Inquiry methods
- In-person application:
- Adult applicant: An applicant appearing in person at the TPEx to request account or trading data for TPEx traded securities shall present the original of his or her national ID card for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application (Attachment 1, the form for adults).
- Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a minor: The applicant’s legal representative or guardian, when appearing in person at the TPEx to request account or trading data for TPEx traded securities, shall present the original of his or her own national ID card and the minor’s national ID card or original household certificate containing specific identity related notes. If the legal representative or legal guardian is an overseas Chinese, foreign national, or Mainland Chinese individual, her or she shall present the original of his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity. The TPEx will process the application after examining and verifying the documents. If the parents are divorced and jointly exercise parental rights, and a parent is unable to present the original of the national ID card of the other parent, it is permissible to submit, in lieu thereof, the originals of the application and the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information notarized or attested by a notary public. Under other circumstances, if the parents by law are not jointly the minor's agent, it is necessary to submit original documentation providing sufficient proof that one of the parents is entitled to solely exercise parental rights or that another person has guardianship. (the original(s) will be returned after verification)
- Application (Attachment 3, the form for minors).
- The legal representative’s or guardian’s and the minor’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a person judicially declared to be under guardianship, his or her guardian, when appearing in person at the TPEx to request account or trading data for TPEx traded securities, shall present the originals of the guardian's own national ID card, proof of identity of the person under guardianship, and 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 individual, he or she shall present the original of his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the request after examining and verifying the documents.
- Application (Attachment 4, the form for persons judicially declared to be under guardianship).
- The guardian’s and the person under guardianship’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual: When an overseas Chinese, foreign national or Mainland Chinese individual appears in person at the TPEx to request account or trading data for TPEx traded securities, if the applicant is an overseas Chinese, present the original of the applicant's passport or photo identification document issued by the relevant diplomatic mission for verification; if the applicant is a foreigner national, present the original of the applicant's passport or Alien Resident Certificate for verification; if the applicant is a Mainland Chinese, present the original of the applicant's Entry & Exit Permit for Mainland Chinese for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application (Attachment 1 or Attachment 3 or Attachment 4).
- Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- Once all the required documents are at hand, the applicant may use the TPEx e-investor system (https://e-investor.tpex.org.tw/) to submit the application, and then appear in person at the TPEx within the appointed deadline. Upon presenting the original of his or her proof of identity document for verification, he or she can obtain the inquiry results.
- If the applicant authorizes another person to submit an inquiry application:
- If the applicant is an adult: The authorized person shall present his or her own and the principal’s national ID card. If the authorized person is an overseas Chinese, foreign national, or Mainland Chinese individual, he or she shall present the original of his or her passport, a photo identification document issued by the relevant diplomatic mission, the Alien Resident Certificate, or the Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application.
- Power of attorney (Attachment 5).
- The principal’s and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a minor: The authorized person shall present the original of his or her own national ID card and the national ID cards of the applicant’s legal representative or guardian and the national ID of the applicant. If the authorized person or the applicant’s legal representative or guardian is an overseas Chinese, foreign national, or Mainland Chinese individual, the authorized person shall present the original of that person’s passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents. If the parents are divorced and jointly exercise parental rights, and a parent is unable to present the original of the national ID card of the other parent, it is permissible to submit, in lieu thereof, the originals of the application and the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information notarized or attested by a notary public. Under other circumstances, if the parents by law are not jointly the minor's agent, it is necessary to submit original documentation providing sufficient proof that one of the parents is entitled to solely exercise parental rights or that another person has guardianship. (the original(s) will be returned after verification)
- Application (Attachment 3, the form for minors).
- Power of attorney from the legal representative or guardian authorizing the authorized person to make the application (Attachment 6).
- The legal representative or guardian’s, the minor’s, and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a person judicially declared to be under guardianship: The authorized person shall present the original of his or her own national ID card and the national ID cards of the guardian and the person under guardianship. If the authorized person or the guardian is an overseas Chinese, foreign national, or Mainland Chinese individual, the authorized person shall present the original of the passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application (Attachment 4, the form for persons judicially declared to be under guardianship).
- Power of attorney from the guardian authorizing the authorized person to make the application (Attachment 6).
- The guardian’s, the person under guardianship’s, and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual: If the applicant is an overseas Chinese, the authorized person shall present the original of his or her own national ID card and the principal’s passport or photo identification document issued by the relevant diplomatic mission for verification; if the applicant is a foreigner national, the authorized person shall present the original of his or her own national ID card and the principal’s passport or Alien Resident Certificate for verification; if the applicant is a Mainland Chinese, the authorized person shall present the original of his or her own national ID card and the principal’s Entry & Exit Permit for Mainland Chinese for verification of identity; if the authorized person is an overseas Chinese, foreign national, or Mainland Chinese individual, he or she shall present the original of his or her passport, a photo identification document issued by the relevant diplomatic mission, the Alien Resident Certificate, or the Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application (Attachment 1 or Attachment 3 or Attachment 4).
- Power of attorney (Attachment 5).
- The overseas Chinese, foreign national, or Mainland Chinese individual’s and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a legal entity: The authorized person shall present the original of his or her own national ID card, a photocopy of the registration documents of the legal entity, and a photocopy of the front of the responsible person’s national ID card; if the authorized person or the responsible person is an overseas Chinese, foreign national, or Mainland Chinese individual, the authorized person shall present the original of the passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below. The TPEx will process the application after examining and verifying the documents.
- Application by legal entity (Attachment 7).
- The responsible person’s and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- Once all the required documents are at hand, the authorized person may use the TPEx e-investor system (https://e-investor.tpex.org.tw/) to submit the application, and then appear in person at the TPEx within the appointed deadline. After presenting the originals of the principal’s and the authorized person’s proof of identity document for verification, he or she can then obtain the inquiry results.
- Application by mail:
- If an applicant or his or her legal representative or guardian or an authorized person of a legal entity is for some reason unable to make an application in person at the TPEx, he or she may visit the securities broker in person, with all the required application documents at hand (Attachments 1 to 7), to apply to receive the information by mail.
- The securities broker shall appoint a registered and licensed salesperson to verify the identity of the applicant or his or her legal representative or guardian, or the authorized person in the case of a legal entity, and the application documents. After the verification, a written certificate will be issued (Attachments 8, 9, 10) and submitted together with application documents in a formal letter to the TPEx to make the application.
- Along with the application, the applicant or his or her legal representative or guardian or the authorized person of the legal entity shall submit a pre-paid return envelope for registered mail along with the application. The TPEx will mail the requested information directly to the applicant or his or her legal representative, guardian, or the authorized person in the case of a legal entity.
- Prior to issuing its certifying statement, the securities firm shall verify the following documents:
- If the applicant is an adult: The applicant shall present the original of his or her national ID card for verification of identity and submit the following documents, after which, the securities firm will issue a written certifying statement (Attachment 8):
- Application (Attachment 1, the form for adults).
- Applicant's Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a minor: The applicant’s legal representative or guardian shall present the original of his or her own national ID card and the minor’s national ID card or original household certificate containing specific identity related notes. If the legal representative or legal guardian is an overseas Chinese, foreign national, or Mainland Chinese individual, her or she shall present the original of his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below, and the securities firm will issue a certifying statement (Attachment 9). If the parents are divorced and jointly exercise parental rights, and a parent is unable to present the original of the national ID card of the other parent, it is permissible to submit, in lieu thereof, the originals of the application and the Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information notarized or attested by a notary public. Under other circumstances, if the parents by law are not jointly the minor's agent, it is necessary to submit original documentation providing sufficient proof that one of the parents is entitled to solely exercise parental rights or that another person has guardianship. (the original(s) will be returned after verification)
- Application (Attachment 3, the form for minors).
- The legal representative’s or guardian’s and the minor’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is a person judicially declared to be under guardianship: the guardian shall present the originals of the guardian's own national ID card, proof of identity of the person under guardianship, and 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 individual, he or she shall present the original of his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below, and the securities firm will issue a certifying statement (Attachment 9).
- Application (Attachment 4, the form for persons judicially declared to be under guardianship).
- The guardian’s and the person under guardianship’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual: If the applicant is an overseas Chinese, he or she shall present the original of the applicant's passport or photo identification document issued by the relevant diplomatic mission for verification; if the applicant is a foreigner national, he or she shall present the original of the applicant's passport or Alien Resident Certificate for verification; if the applicant is a Mainland Chinese, he or she shall present the original of the applicant's Entry & Exit Permit for Mainland Chinese for verification of identity, and submit the documents listed below, and the securities firm will issue a certifying statement (Attachment 8).
- Application (Attachment 1 or 3 or 4).
- Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2) issued by the overseas Chinese, foreign national, or Mainland Chinese individual.
- If the applicant is a legal entity: The authorized person shall present the original of his or her own national ID card, a photocopy of the registration documents of the legal entity, and a photocopy of the front of the responsible person’s national ID card; if the responsible person is an overseas Chinese, foreign national, or Mainland Chinese individual, the authorized person shall present a photocopy of the passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese, for verification of identity, and submit the documents listed below, and the securities firm will issue a certifying statement (Attachment 10).
- Application by legal entity (Attachment 7).
- The responsible person’s and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 2).
- Application online: The applicant may connect online to the Investors' Personal Information Inquiry System maintained jointly by the Taiwan Stock Exchange (TWSE) and TPEx at https://investor.twse.com.tw/, and complete the statement of collection, processing and utilization of personal information (Attachment 11).
- If an applicant under subparagraph 1 to 3 has changed his/her/its name, the applicant, if a natural person, shall additionally submit the Household Certificate containing a specific note of the change, or the certificate of name change; if a legal person, it shall additionally submit the legal entity amendment registration documentation, for checking and verification.
- If an applicant under subparagraph 1 to 3 is a person judicially declared to be under assistance, and furthermore the matters that, under the declaration, the person is prevented from doing include accessing securities account or trading information, the TPEx or the securities firm may request that the applicant submit the written consent of his or her assistant. If the applicant refuses to provide the consent, the TPEx or the securities firm may decline his or her application for information.
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