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These procedures are adopted for the handling of inquiries by applicants regarding decedent’s account or trading data for TPEx traded securities.
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Applicants: An inquiry application may be made by an estate administrator or heir.
- An administrator (elected by the family council or appointed by the court) shall submit the following materials:
- Household certificate or household registration cancellation document with a note stating the death of the decedent.
- The administrator's own proof of identity document.
- Documentary evidence of election by the family council or appointment by the court.
- An heir shall submit the following materials:
- Household certificate or household registration cancellation document with a note stating the death of the decedent.
- The heir's current household certificate.
- Genealogical succession table (Attachment 1).
- The heir's proof of identity document.
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Inquiry methods
- In-person application:
- An adult applicant who is appearing in person at the TPEx to request a decedent’s account or trading data for TPEx traded securities shall present the original of his or her proof of identity document for verification of identity, and submit an application (Attachment 2), a Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 3), and the required documents as specified on the application form. The TPEx will process the application after examining and verifying the documents. If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual, the applicant shall present his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese as his or her proof of identity document.
- If the applicant is a minor or a person judicially declared to be under guardianship, the applicant shall submit for verification the documents as provided in Point 3, subparagraph A, items b and c of the Taipei Exchange Procedures for the Handling of Investor Inquiries Regarding Account or Trading Data for TPEx Traded Securities and submit an application (Attachment 2), a Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 3), and the required documents as specified on the application form. The TPEx will process the application after examining and verifying the documents. If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual, the applicant shall present his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese as his or her proof of identity document.
- 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 for some reason unable to make an application in person, the applicant may authorize another person to make the application on his or her behalf.
- If the applicant is an adult, the authorized person shall present for verification the originals of the principal’s and the authorized person’s national ID cards, and submit an application (Attachment 2), a Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 3), and a power of attorney from the estate administrator or heir (Attachment 4). The TPEx will process the application after examining and verifying the documents. If the applicant is an overseas Chinese, foreign national, or Mainland Chinese individual, the applicant shall present his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese as his or her proof of identity document.
- If the applicant is a minor or a person judicially declared to be under guardianship, the authorized person shall present for verification the originals of the principal’s and the authorized person’s national ID cards, and submit an application (Attachment 2), the applicant’s and the authorized person’s Notification and Letter of Consent in Regard to the Collection, Processing, and Use of Personal Information (Attachment 3), and a power of attorney from the estate administrator or heir (Attachment 4). The documents to be submitted by the applicant for verification shall be those as provided in Point 3, subparagraph B, items b and c of the Taipei Exchange Procedures for the Handling of Investor Inquiries Regarding Account or Trading Data for TPEx Traded Securities. If the applicant or the authorized person is an overseas Chinese, foreign national, or Mainland Chinese individual, his or her passport, photo identification document issued by the relevant diplomatic mission, Alien Resident Certificate, or Entry & Exit Permit for Mainland Chinese shall be presented as his or her proof of identity document.
- 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 by the TPEx, he or she can then obtain the inquiry results.
- Application by mail:
- If an applicant 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, to apply to receive the information by mail.
- The securities broker shall appoint a registered and licensed salesperson to examine and verify the applicant’s identity and the application documents. The documents to be examined shall be as set out in subparagraphs B and C. After the verification, a written certificate will be issued (Attachment 5) and submitted together with application documents in a formal letter to the TPEx to make the application.
- Along with the application, the applicant 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.
- If an applicant 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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The following fee standards and calculation methods shall apply to the handling of information inquiries:
- If the applicant submits an inquiry application in person at the TPEx or authorizes another person to do so, or makes an application through a securities firm to receive the information by mail:
- For an inquiry only for securities account details, a handling fee and computer processing fee of NT$300 will be charged per inquiry.
- For an inquiry only for trading data or an inquiry simultaneously for securities account details and trading data, a handling fee and computer processing fee of NT$500 will be charged per inquiry per person (or per inquiry per entity, in the case of inquiries by legal persons).
- If the applicant submits an inquiry application online via the Investors' Personal Information Inquiry System, no fee will be charged.
- If fees are required for an application to receive trading information by mail, the payment shall be made by remittance to the following account at the Guting Branch of the Land Bank of Taiwan: Taipei Exchange account number 007005507558. A receipt will be separately sent.
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These Procedures, and any amendments hereto, shall be implemented after approval by the TPEx president.
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