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Regulations Governing Book-Entry Operations for Centrally Deposited Securities  CH

Amended Date: 2021.03.29 
   CHAPTER V EXERCISE OF RIGHTS OF DEPOSITED SECURITIES
Article 31    Within two days after the commencement of the issuing company's publicly announced period of suspension of account transfer 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 the names, personal identification card numbers, government uniform invoice numbers, tax ID numbers, residence or domicile, 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.
Article 32    Within three days after the commencement of the issuing company's publicly announced period of suspension of account transfer 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 government uniform invoice numbers or tax ID numbers, residence or domicile, 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 paragraph shall be based upon the securities which have been deposited with the CSDE one day prior to commencement of the said period of suspension of account transfer.
    The provisions of the preceding two paragraphs shall apply mutatis mutandis to government bonds and other securities.