Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 9
A securities firm that enters into a brokerage contract with a principal for the trading of foreign securities shall do so in accordance with the following provisions:1. When the principal is a natural person, the principal shall provide an original of his/her National Identity Card, Alien Resident Certificate, Alien Permanent Resident Certificate, or passport along with originals of other documents sufficient to verify their identity. They shall personally sign the brokerage contract and provide a photocopy of the identification document.2. When the principal is a minor, their statutory agent shall personally appear to execute the contract, and present the identification documents of subparagraph 1 for him or herself and for the principal, along with a photocopy, for recordation.3. When the principal is a juristic person, an authorized appointee shall present a photocopy of the principal's juristic person registration documents, a photocopy of the notification from the tax authority establishing its uniform ID number as a tax withholding entity (profit-seeking enterprises are exempt from the requirement to provide the abovementioned photocopy of the notification), a power of attorney, and photocopies of the national IDs of the juristic person's representative and the authorized appointee and execute the contract. These requirements do not apply when the principal has entrusted a custodian institution to open an account on its behalf or submits verification that the custodian institution is authorized to perform settlements on its behalf.Upon signing the brokerage contract, the principal shall prepare a chop or signature specimen card for the securities firm, and process securities trading orders, settlement and other related procedures using the identical chop or specimen.A securities firm may accept an account-opening application from a principal through the Internet, by letter, or by another method other than in person. In addition to verifying the identity of the principal, the securities firm shall impose limits on the amount of brokerage trading that may be conducted by the principal, and shall comply with the regulations prescribed by the securities dealers association governing relevant procedures and amounts. If an account is opened through the Internet or by another electronic means, the securities firm may keep the principal's specimen seal impression card or specimen signature card when the principal places an order in person or by facsimile.
中文原文 證券商受託買賣外國有價證券管理規則第9條
證券商與委託人簽訂受託買賣外國有價證券契約，應以下列方式辦理：
一、委託人為自然人者，應持身分證、外僑居留證、永久居留證或護照正本及其他可資證明身分之文件正本，親自簽訂受託契約並交付身分證明影本留存。
二、委託人為未成年者，應由法定代理人親持本人及委託人之第一款所定身分證明文件辦理，並交付影本留存。
三、委託人為法人者，由被授權人檢附法人登記證明文件影本、稅捐機構發給之設立扣繳單位編配統一編號通知單影本（若屬營利事業得免檢附上開通知單影本）、授權書暨法人代表人及被授權人身分證影本辦理；但委託人委由保管機構代為開戶或出具由保管機構代辦交割證明者，不在此限。
委託人應於簽訂受託契約時，留存印鑑卡或簽名樣式卡，憑同式印鑑或簽名辦理證券買賣委託、交割或其他相關手續。
證券商得接受委託人經由網際網路、書信或其他非當面方式申請開戶，除應確認其身分為本人辦理外，其受託買賣金額應予以限制，相關程序及金額應依證券商同業公會所定之管理辦法辦理。
以網際網路等電子方式開戶者，證券商得於委託人當面委託或傳真委託時，留存印鑑卡或簽名樣式卡。
一、委託人為自然人者，應持身分證、外僑居留證、永久居留證或護照正本及其他可資證明身分之文件正本，親自簽訂受託契約並交付身分證明影本留存。
二、委託人為未成年者，應由法定代理人親持本人及委託人之第一款所定身分證明文件辦理，並交付影本留存。
三、委託人為法人者，由被授權人檢附法人登記證明文件影本、稅捐機構發給之設立扣繳單位編配統一編號通知單影本（若屬營利事業得免檢附上開通知單影本）、授權書暨法人代表人及被授權人身分證影本辦理；但委託人委由保管機構代為開戶或出具由保管機構代辦交割證明者，不在此限。
委託人應於簽訂受託契約時，留存印鑑卡或簽名樣式卡，憑同式印鑑或簽名辦理證券買賣委託、交割或其他相關手續。
證券商得接受委託人經由網際網路、書信或其他非當面方式申請開戶，除應確認其身分為本人辦理外，其受託買賣金額應予以限制，相關程序及金額應依證券商同業公會所定之管理辦法辦理。
以網際網路等電子方式開戶者，證券商得於委託人當面委託或傳真委託時，留存印鑑卡或簽名樣式卡。