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Title	Taiwan Depository & Clearing Corporation Operation Directions for Information Reporting and Querying with Respect to the Operation by Securities Firms of the Business of Proprietary Trading of Specific Foreign Bonds CH
Date	2025.09.09 ( Announced )

Article Content

Chapter 1 General Principles

Article 1

These Directions are adopted to facilitate information reporting by securities firms when engaging in proprietary trading of specific foreign bonds in accordance with Article 9 of the Taipei Exchange (TPEx) Rules Governing the Operation by Securities Firms of the Business of Proprietary Trading of Specific Foreign Bonds and other applicable provisions.

Article 2

Securities firms operating the business of proprietary trading of specific foreign bonds shall report relevant information with respect to their trading of specific foreign bonds, including customer basic information, transaction details, and balances, to the Taiwan Depository & Clearing Corporation (TDCC) "Specific Foreign Bond Query Platform" (the "Platform"). TDCC is responsible only for receiving and handling the information reported by the securities firms. The securities firms shall be solely responsible for checking the content of the reported information. In the event of any dispute, the securities firms shall be solely liable.
Before reporting any such information, a securities firm shall first obtain consent from the customer to the provision of their personal information for TDCC's collection, processing, and use.

Chapter 2 Connection Applications and Basic Information Reporting

Article 3	When applying for the first time to report information on specific foreign bonds, a securities firm must submit an application, together with the following documents, to TDCC for computer connection: Application for Information Reporting by a Securities Firm Operating the Business of Proprietary Trading of Specific Foreign Bonds. Application for Connection to the Internet Application Systems. A photocopy of the Contract for the Operation by a Securities Firm of the Business of Proprietary Trading of Specific Foreign Bonds signed with the TPEx.
Article 4	After reviewing and verifying the accuracy of the documents under the preceding article, TDCC will input the basic information of the securities firm, including its IP address(es), email address(es), contact person information, as well as its trustee bank's depository account number, uniform ID number, and relevant certification authority (CA) certificate information, into the Platform and generate an account number and password for computer connection and send the same to the designated contact person's email address.
Article 5	When a securities firm intends to make any change to the basic information specified in the application under Article 3, subparagraph 1, or to terminate its operation of the business of proprietary trading of specific foreign bonds, it shall complete an Application for Information Reporting by a Securities Firm Operating the Business of Proprietary Trading of Specific Foreign Bonds, affixed with its seal/signature on file, and submit it to TDCC, so that TDCC can carry out information change or cancellation operations. When a securities firm intends to make any change to the information specified in the application under Article 3, subparagraph 2, or to cancel computer connection due to the termination of its operation of the business of proprietary trading of specific foreign bonds, it shall complete an Application for Connection to the Internet Application Systems, affixed with its seal/signature on file, and submit it to TDCC, so that TDCC can carry out information change or cancellation operations.

Chapter 3 Reporting of Information on Transaction Details as Well as Balances of Specific Foreign Bonds

Article 6	A securities firm shall, by 9 a.m. on each business day and in a format prescribed by TDCC, report the following information for the previous business day: Customer basic information as added, deleted, or changed: Including relevant information such as customer's name, account number, national ID number/business administration number/uniform ID number, date of birth/date of incorporation, email address verified to be used by customer, account opening date, and account status. Transaction detail information: Including information such as bond code, customer's account number, national ID number/business administration number/uniform ID number, transaction type, transaction number, and transaction quantity. Customer balance information: Including information such as customer's account number, national ID number/business administration number/uniform ID number, bond code, and customer total balance, as of 12 midnight. The securities firm shall check the accuracy of the content of the reported information. When discovering any error in the reported information, the securities firm shall immediately contact TDCC to correct it. Each day, TDCC will calculate, on an aggregate basis, the total balance of each bond based on the customer balance information reported by securities firms under paragraph 1, subparagraph 3 and compare it against the balances for each bond code in the trust depository account and then notify the results to the TPEx.
Article 7	When a securities firm intends to carry out the information reporting or correction under the preceding Article after the reporting cut-off time prescribed by TDCC, it shall complete an Application for Extension and Correction for Information Reporting by a Securities Firm Operating the Business of Proprietary Trading of Specific Foreign Bonds, affixed with its seal/signature on file, and submit it to TDCC for application and shall furthermore complete the reporting by 5 p.m. on the same day. If the securities firm first submits the application by fax on that day, it shall deliver the original document to TDCC by close of business on the next business day.
Article 8	Upon occurrence of equipment breakdown, system failure or outage, or a force majeure event that disrupts the normal transmission of information, a securities firm shall restore normal system operation and resume information reporting as soon as possible.

Chapter 4 Querying by Customers and Trustee Banks

Article 9	When a securities firm reports addition or change of a customer's basic information, TDCC will use the customer's email address provided by the securities firm to notify the customer that the customer may use the Platform to query the transaction details, balances, and other relevant information of the specific foreign bonds as reported by the securities firm.
Article 10	To query information on the transaction details as well as the balances of the specific foreign bonds held, a customer may log in to the Platform using their national ID number or uniform ID number and furthermore using any of the following electronic certificates: Citizen Digital Certificate. Common Certificate for Securities and Futures. Ministry of Economic Affairs Certification Authority (MOEACA) Certificate. Securities Trading Certificate. A trustee bank designated by a securities firm may log in to the Platform using the trustee bank's uniform ID number and CA certificate as specified in the securities firm's application under Article 4.
Article 11	A customer can use the Platform to query their personal basic information, account balances, as well as their transaction details within the past year. In the case of any doubt, the customer shall contact their securities firm for clarification. Once the customer's account with the securities firm is canceled, the customer's access to relevant query services on the Platform will be terminated. A trustee bank can use the Platform to query the latest balance for each bond code in its trust depository account.

Chapter 5 Supplementary Provisions

Article 12	TDCC shall keep the information reported daily by securities firms for at least 10 years.
Article 13	For any securities firms failing to carry out information reporting in accordance with Article 6, paragraph 1, or having applied for an extension under Article 7 but failing to complete the reporting by 5 p.m. on the same day, TDCC will compile the relevant information monthly and provide it to the TPEx.
Article 14	For use of the Platform, a securities firm shall pay fees in accordance with the following standards and deadlines: Fee charging standards: Fees are calculated and charged based on the total number of entries transmitted each month by the securities firm for additions, deletions, and changes of customer basic information, transaction detail information, and customer balance information. Rate: NT$1 will be charged for each entry. If the amount of fees to be charged for a month is less than NT$20,000, a minimum monthly charge of NT$20,000 will apply. Payment deadline: Payment shall be completed each month by the deadline specified in TDCC's fee notice. If a securities firm fails to make payment by the deadline, TDCC may suspend the provision of the service.
Article 15	Any matters on which these Directions are silent shall be governed by applicable laws and regulations as well as other applicable rules of TDCC.