Information Security Guidelines for Investors

As the name suggests, it means the security of information and communications. Investors engaged in online trading of securities, futures, stock subscriptions, and financial products, managing accounts, and personal investment information. Does the convenience of online execution also take into account the security of information and communication at the same time?

• Electronic transactions such as network transmission or telephone voice are inherently unreliable and unsafe in transmitting data.
• Transmitting data over the Internet involves risks such as interruptions and delays. (Data custody risk)
• Messages sent under someone else’s name.
• The message content is monitored remotely by others.
• The data content is stolen, altered, or damaged by others.
• The recipient denies receiving the message content, and the sender denies sending the message content.
• If the client’s personal password and electronic certificate are lost or stolen, the client shall bear the responsibility.

A certificate is issued by a legally authorized certification authority to confirm your identity to others. The certificate contains information that can be used to protect data or establish security when connecting to other computers. In response to the security requirements of online transactions, a comprehensive security control mechanism is provided to ensure the confidentiality, identity verification, and non-repudiation of data in online transaction services.

• Ensures the security of each electronic transaction for investors.
• Ensures that the content of the order message will not be tampered with.
• Prevents impersonation in placing orders under false names.
• Ensures that the content of the order message will not be revealed.
• In the event of a dispute in the transaction, relevant evidence can be used as the basis for arbitration.

Certificates should be used when establishing transactions with securities firms and futures firms (e.g., placing orders, canceling orders, subscribing, withdrawing futures trading margins, etc.).

• Password Setting Principles: When setting a password, do not use easily guessable numbers such as birthdays, phone numbers, or ID numbers.
• Password Management Principles: Apply for and safeguard the electronic certificate personally (electronic certificates may be stored on media such as magnetic disks, hard drives, IC cards, etc.). Do not hand over the certificate to others for safekeeping.
• Do not disclose any personal passwords to others.
• Do not write passwords in obvious and easily accessible places.
• Change your passwords frequently and irregularly.
• Distinguish between passwords for general websites (which may be in plain text) and those for online trading to avoid being guessed or misused by others.

• Use electronic certificates without hesitation.
• Do not allow browsers to remember personal passwords when using shared computers.
• Develop the habit of logging out of the network immediately when leaving the seat or completing a transaction.
• It is preferable not to use websites with trading functions in public places such as internet cafes.

Investors using electronic certificates can rely on related evidence, data, and materials as the basis for arbitration in the event of a transaction dispute.

• Financial Supervisory Commission Securities and Futures Bureau (SFB): 886-2-8773-5100
• The Securities and Futures Investors Protection Center (SFIPC): 886-2- 2712-8899
• Taiwan Stock Exchange Corporation (TWSE): 886-2-2792-8188
• Taipei Exchange (TPEx): 886-2-2366-6100
• Taiwan Futures Exchange (TAIFEX): 886-2-2369-5678
• Other securities-related units