| Title： |
Regulations Governing Book-Entry Operations for Centrally Deposited Securities(2003.07.07) |
| Date： |
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Article 6
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The CSDE shall set up "Participant's Account Books."
The account books as referred to in the preceding Paragraph shall record, in addition to the participant's name, office address, reference number of profits-seeking enterprise registration certificate, the following information regarding securities deposited by the participant:
1. the respective portions owned by participants, customers, as well as the respective portions pending settlement, and under pledge;
2. types and quantities of securities, and the name of the issuing company;
3. any increase or decrease in the quantity of deposited securities, and reasons for such changes; and
4. other matters necessary to be recorded.
The portion of securities pending settlement referred to in Item 1 of the preceding Paragraph shall refer to those deposited securities to be delivered to other participants and/or customers in performing settlement.
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Article 10
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Upon accepting a Customer's account opening application and having the Customer's securities deposited with the CSDE in the participant's name, the participant shall set up Customer Account Books recording the following information:
1. the Customer's name, identification card number, company uniform number, tax withholding number, and residence or domicile;
2. types and quantities of securities, and name of the issuers;
3. any increase and decrease in the quantity of securities and reasons for such changes; or
4. other necessary matters.
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Article 31
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A participant shall, wWithin two days after the commencement of the issuing company's publicly announced record date to period of suspendsion of the ownership account transfer registration due to convening of a shareholders' meeting or creditors' meeting, or declaration of dividends, bonuses or other profits, or repayment of principal and payment of interest, a participant shall prepare and submit to the CSDE a list of all securities owners whose securities have been deposited with the CSDE one business day prior to the record date. Such list shall record such information including the names, personal identification card numbers, or company government uniform invoice numbers, or tax withholding ID numbers, residence or domicile, and the quantities of securities held by each securities owner, and information relating to trust registrations.
The provisions of the preceding paragraph shall apply mutatis mutandis to government bonds and other securities.
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Article 32
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The CSDE shall, wWithin three days after the commencement of the issuing company's publicly announced record date to period of suspendsion of the ownership account transfer registration due to convening of a shareholders' meeting or creditors' meeting, or declaration of dividends, bonuses or other profits, or repayment of principal and payment of interest, a CSDE shall compile such securities owner lists that have been prepared by the participant as referred to in the preceding article and notify the relevant issuing company of such information including serial numbers of the deposited securities, names of securities owners, securities owners' personal identification card numbers or company government uniform invoice numbers or tax withholding ID numbers, residence or domicile, and the quantities of securities held by each securities owner, and information relating to trust registrations.
Information regarding the serial numbers and total quantities of the deposited securities as referred to in the preceding Paragraphparagraph shall be based upon the securities which have been deposited with the CSDE one day prior to commencement of the said record date period of suspension of account transfer.
The provisions of the preceding two paragraphs shall apply mutatis mutandis to government bonds and other securities.
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Article 35
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The effective date of these Rules shall be determined by the SFC.
The effective dates of amendments to these Rules shall take force from the date of promulgation. also be determined by the SFC.
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