Application by Securities Firms for Borrowing Taiwan Stock Exchange Backup Bidding Equipment

Due to a malfunction of the trading transmission system of our chead office cbranch on yy mm dd, please kindly allow us to use your backup bidding equipment: cMarket cloud-based backup bidding equipment at [place of use by the securities firm],

cBackup bidding equipment of a designated place, with persons dispatched to such place,

for: cfull backup (regular trades, odd-lot, after-market fixed-price, lending auction, ordinary reverse auction, bond reverse auction, block).

cspecial trades (lending auction, ordinary reverse auction, bond reverse auction, block).

To

Taiwan Stock Exchange

Securities Co., Ltd.

Code：

Company Tax I.D.：

Head office or branch officer： (signature)

Facsimile：

yy mm dd

1： Pursuant to Article 20, paragraph 4, subparagraph 2 of the Operating Rules, in the event that a major event of force majeure occurs to the trading transmission system of a securities firm such that its bidding equipment develops malfunction, the securities firm may borrow not more than two sets of TWSE market backup bidding equipment. The securities firm shall contact the TWSE by telephone in advance and submit an application bearing its corporate seal and the seal of its responsible person to the TWSE. Any location at which TWSE market cloud-based backup bidding equipment is used must comply with the TWSE Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers.
2： Please also send by fax a “Bank Consent to Loaning of Place of Business” if the place of business of a bank is borrowed for the use of cloud-based backup bidding equipment pursuant to Article 1 of the TWSE Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers.
3： A securities firm which must borrow backup bidding equipment from the TWSE due to disconnection at said firm’s place of business shall send by fax an Application by Securities Firms for Borrowing Taiwan Stock Exchange Backup Bidding Equipment affixed with the company seal (available on the TWSE webpage: Products and Services / Securities Firms / Trading Department / Download) and notify the Trading Department of the TWSE by telephone. Personnel dispatched to the place designated by the TWSE shall carry their identification and registration with them (brokerage trading personnel or clerks (operating counter)). Tel.: 02-8101-3714; fax: 02-8101-3744.
Notice of and Consent to the Collection, Processing and Use of Personal Data
For the purposes of loaning backup bidding equipment to securities firms, the Taiwan Stock Exchange Corporation (“TWSE”) needs to collect, process and use your personal data. Please read the following carefully in order to protect your legitimate rights and interests:
1. Source: Personal data collected by the securities firm of its practitioners.
2. Purpose: For loaning the backup bidding equipment of the TWSE to securities firms
3. Classification: Names of practitioners of securities firms
4. Time period, area, target and way of use:
（1）Time period：The relevant files will be deleted with no backup retained two years after the loan procedure is completed.
（2）Area：Transmission within the R.O.C. and international transmission pursuant to laws and regulations.
（3）Target：For use by the TWSE, or by made available to the competent authority of the TWSE or other third parties according to laws and regulations.
（4）Way：Both electronic and hard copies of your information will be collected and used.
5. Rights you have and way of exercising the rights：You may claim to the Trading Department of the TWSE the following rights in the personal data you provide for the current operation：Inquire about; review; make duplications of; supplement; correct; delete; and discontinue collection, processing or use of, the personal data, provided the TWSE may elect not to delete data that are required for a special business purpose until said purpose is eliminated or the statutory retention period expires.
Within the scope of the special-purpose business mentioned above, I agree to the collection, processing and use by the TWSE of my personal data and, upon being informed of the above by the TWSE, I acknowledge the collection, processing and use of my personal data by the TWSE conforms to requirements.
By： （signature），By： （signature）
By： （signature），By： （signature）
By： （signature），By： （signature）
By： （signature），By： （signature）
By： （signature），By： （signature）
yy/mm/dd

Template Bank Consent to Loaning of Place of Business

On this __st/nd/rd/th day of mm, yy, we agree to the borrowing by ______Securities Co., Ltd. (code: ______) of our business of place for using the market cloud-based backup bidding equipment provided by the Taipei Stock Exchange. We further agree the Taiwan Stock Exchange may visit our place of business to inspect the actual use of such equipment by the securities firm.

To

______Securities Co., Ltd. Branch

By：

Head office / Branch：

Legal Representative：

Address of Place of Business：

yy mm dd

Application by Securities Firms for Borrowing Taiwan Stock Exchange Backup Bidding Equipment 2-2