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友善列印
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Chapter Content

Title:

Regulations Governing the Administration of Shareholder Services of Public Companies  CH

Amended Date: 2021.03.02 
   Chapter II Company Shareholder services
      Section II Shareholders Register and Shareholder Account Opening
Article 18    The names registered on the shareholders register, as applicable to natural persons, shall be based on the name shown on the National Identity Card, except in the case of overseas Chinese and foreign nationals who may supply the name shown on the alien resident certificate, passport or other documents evidencing identity; as applicable for juristic persons, the name registered on the shareholders list shall be their full registered name.
    In handling matters in the preceding paragraph regarding securities or securities underlying overseas depositary receipts that are held by offshore overseas Chinese and foreign nationals, by securities investment trust funds, under trust contracts, or by collective investment accounts for foreign national or mainland Chinese national employees, the entry in the shareholders register of the company may be registered under a special account name that can clearly identify the rights and obligations relating to the securities.
    A company shall not open two or more accounts for the same shareholder.
Article 19    Upon opening a new account, the shareholder shall supply a specimen chop, photocopy of the National Identity Card, resident certificate, passport, or other documents evidencing identity or photocopy of documents evidencing company registration; where necessary, the company or the shareholder services agent may require the shareholder to supply originals of the above documents; where a foreign shareholder appoints a domestic agent or representative to open the account, a power of attorney shall be supplied.
    When opening an account as referred to in the preceding paragraph, a natural person shall leave on file a signature or chop specimen using his or her true name; a juristic person shall use its full registered name, and in addition, may also register the signature or chop of its representative or use the professional chop of its agent; where in accordance with paragraph 2 of the preceding article a special account is used for the entry in the shareholders register, a chop based on the name of such special account name shall be used, provided that where the Taiwan representative of an overseas Chinese or foreign national is the same person as the custodian institution, or where a trust enterprise established under the Trust Act serves as the trustee institution, the exclusive chop of that custodian or trustee institution may be used as the shareholder chop for its account; in case of a minor or a person who has been declared under guardianship or assistance, the statutory agent, guardian, or assistant shall also supply their signature or chop; if the statutory agent, guardian, or assistant is the parents, the parents may agree to signing or use of chop by either parent on behalf of both parents; in the case of a signature account, the company or the shareholder services agent may adopt the procedures set forth in Article 11, paragraph 2.
    A shareholder that has provided both a signature and chop specimen on the specimen chop card on file may effectively use either signature or chop to process shareholder services with the company or exercise related rights pursuant to Article 11, paragraph 1.
    The shareholder specimen chop and signature shall be limited to a single copy.
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Article 20    The contents of the specimen chop card shall include the shareholder account number, name of the shareholder, commencement date, and specimen signature or specimen chop. In addition, natural persons shall indicate the address shown on the household registry, and contact address and telephone number, National Identity Card number or the number of other document evidencing identity, and the date of birth; a juristic person shall indicate its registered address and its uniform number; a foreign shareholder shall additionally indicate nationality or place of registration and, if appointing a domestic agent or representative to open the account, shall indicate the address and uniform number of the domestic agent or representative.
    A contact address indicated by a domestic shareholder as referred to in the preceding paragraph shall be confined to a domestic address; where a foreign shareholder has designated a custodian institution, the name of such institution shall be included.
    The uniform ID number for people of the Mainland Area, Hong Kong, and Macao, and overseas Chinese or foreign nationals, in the case of natural persons, shall be the ID number assigned by the Ministry of the Interior; where an ID number has not been obtained, it shall be a number assigned in accordance with Ministry of Finance rules governing the allocation of relevant identification numbers; in case of juristic persons, the number shall be based on the withholding uniform invoice number assigned by the tax authority.
Article 21    Where a shareholder changes the specimen chop on file to a new chop or to a signature, a change of specimen chop application shall be completed specifying the full serial numbers of the stock certificates and the number of shares held bearing the old chop, affixed with the old and new specimen chop or specimen signature, together with the new specimen chop card and the stock certificates, and the above materials shall be sent to the company for processing. The new specimen chop shall be effective on the date following completion of registration.
    In processing the change of specimen chop referred to in the preceding paragraph, where the stock certificate has been sent to the centralized securities depository enterprise, has been pledged, or has been sold, and for valid reasons the shareholder cannot supply the stock certificate for processing, the stock certificates need not be supplied.
    Where a stock is pledged as referred to in the preceding paragraph, where the pledge is removed, the stock certificate shall be presented and amendment registration procedures carried out.
    Where a chop is replaced by a signature pursuant to paragraph 1, the company or the shareholder services agent may adopt the procedures set forth in paragraph 2 of Article 11.
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Article 22    Where the specimen chop is lost or destroyed, a lost specimen chop application shall be completed specifying the serial numbers and number of shares bearing the old chop, together with identification papers and copies thereof, new specimen chop card and the stock certificates, and the above materials shall be personally sent to the company for processing. Upon determination that the specimen chop may be replaced with a new one or with a specimen signature, and upon completing the procedures for registering a new specimen chop or signature, the new specimen chop or signature shall be effective on the date following completion of registration, unless it is declared that the effective date shall be on the same date.
    Where the application procedures for replacement of a specimen chop with a new specimen chop or with a specimen signature under the preceding paragraph are carried out by an appointed third party or through correspondence, the following identity documents shall be submitted:
  1. Natural person shareholder: if a domestic natural person, the National Identity Card or the chop certificate issued by the household registration office; if a foreign natural person, the alien residence certificate, passport, or certificate legalized by an ROC representative body or issued by a local court or government agency in the shareholder's home country, or identity document notarized by a statutory notary institution in the shareholder's home country.
  2. Juristic person shareholder:
    1. A juristic person shareholder shall submit an application letter bearing the company chop on the company amendment registration evidentiary document issued by the competent authority and the chop of the responsible person who represents the company.
    2. Photocopy of the company amendment registration evidentiary document issued by the competent authority, with a statement thereupon indicating that it is a true and faithful copy of the original.
    3. Documentation of identity in accordance with the preceding subparagraph for the responsible person of the juristic person shareholder.
  3. Where a third party is appointed to carry out the procedures, such appointee shall be a citizen of the Republic of China, and, in addition to the identity documents set forth in the preceding two subparagraphs the National Identity Card and power of attorney of the appointee shall also be submitted.
    The provisions of paragraphs 2 and 3 of the preceding Article shall apply mutatis mutandis while processing the lost specimen chop under paragraph 1.
    Where a specimen chop is replaced with a specimen signature under paragraph 1, the company or the shareholder services agent may adopt the procedures set forth in Article 11, paragraph 2.
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Article 22-1    A shareholder carrying out amendment of the specimen chop or signature because of a change of account name shall complete an application for change of the account name, specifying the full serial numbers of the stock certificates and number of shares held, affixing the new specimen chop or specimen signature, together with the new specimen chop card and the stock certificates, documentation of the change of account name, identification papers and photocopy thereof, and deliver them in person to the company for processing of registration; upon completion of the registration procedures, the amendment shall become effective on the next following day, unless it is declared that it is effective from the registration date.
    Article 21, paragraphs 2 to 4 and Article 22, paragraph 2 apply mutatis mutandis to a change of account name under the preceding paragraph.
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