TAIWAN FUTURES EXCHANGE-Investor Protection-Account Opening and Transaction History Inquiry-Instructions

Instructions

Investors or successors can inquire the transaction data (including: account opening, order and transaction history, and current position balance) through the following ways:

Service Time: 9:00~12:00 a.m. and 1:30~5:00 p.m. on bussiness day.

The successor can close the position and withdrawal from the belonging FCMs according to the query results.

Inquiring about the positions and cash equity of the belonging FCMs

The successor shall attach the Death Certificate of the futures investor, the ID Card of the successor, and the supporting documents of the relationship between the successor and the futures investor (such as the Household Certificate) and go to the FCMs (or the Introducing Brokers) for inquiries.

The handling when futures investor still has position after death.

The successor shall attach the Death Certificate of the futures investor, the ID Card of the successor, the supporting documents of the relationship between the successor and the futures investor (such as the Household Certificate) to the FCMs, and the FCMs will close the investor's position according to the contract.

Withdrawal

(1)

Attached documents: 1. Genealogical list of inheritance, 2. Original Household Registration Transcript of entire household, 3. The written delegation of agency by all successors, 4. Certificate of Estate Tax Payment (or Exemption) by the National Taxation Bureau, 5. Household Registration Cancellation Transcript or Death Certificate.

(2)

After the FCMs verify the relevant documents, the attorney can conduct the cash withdrawal to the investor's contractual bank account. Or the attorney submits the written delegation of agency by all successors and the withdrawal bank's consent form to conduct the withdrawal to the investor's contractual bank account. Or the successor on the heritage division agreement form conducts the withdrawal and withdraws fund to the bank account designated by the successor.

Should you have any questions, please contact the Trading Department at 02-2369-5678 ext. 3142 (Mr. Yang), 3371 (Mr. Wang), and 3273 (Mr. Hou).

For inquiries about securities account opening and trading history, please refer to the website of the Taiwan Stock Exchange> Products and Services > Query Personal Information Service > Taiwan Stock Exchange Corporation Procedures for Decedents to Request Account or Transaction Information at the Centralized Securities Exchange Market. for inquiries; to simplify and improve the efficiency of inquiries, if you already have "Online-Dealing Certificate", "Citizen Digital Certificate" or "Ministry of Economic Affairs Certification", you can go to the Taiwan Stock Exchange's official website > Products and Services > Query Personal Information Service > Query Personal Information Service for online inquiries.

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