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Article 3-5
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If a company whose stock is listed on the stock exchange or traded on the OTC market handles its own shareholder services or engages a shareholder services agent to handle shareholder services for it, the company or the shareholder services agent, as the case may be, shall be subject to evaluation by the institution designated by this Commission at least once every three years.
The items, contents, criteria, and evaluation outcomes of the evaluations under the preceding paragraph shall be set by the institution designated by this Commission and then submitted to this Commission for ratification. The same shall be true for any amendment thereto.
After conducting an evaluation pursuant to the preceding two paragraphs, the institution designated by this Commission shall submit the outcome of the evaluation in writing to this Commission.
If the outcome of evaluation is "fail" and the circumstances are serious or the corrections ordered by this Commission are not made by the specified deadline, this Commission may order the evaluated entity, in the case of a company handling its own shareholder services, not to handle its own shareholder services any longer, in which case the provisions of Article 6, paragraph 3 with respect to the outsourcing or transfer of the handling of shareholder services or, as the case may be, the appointment of a shareholder services agent shall apply mutatis mutandis, or, in the case of a shareholder services agent, not to enter into any new shareholder services agreement for a period of not less than 6 months and not more than 1 year.
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Article 19
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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 35
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Where a shareholder processes matters in accordance with Articles 23 to 28, and such shareholder is a minor or a person under guardianship or assistance, for the shares being transferred, the statutory agent, guardian, or assistant shall affix his or her signature or chop on the stock certificate and the transfer application.
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Article 36
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Where a minor reaches adult legal status, or a person who has been declared under guardianship or assistance resumes his legal capacity, such shareholder shall submit a copy of his National Identity Card or documentary proof of a final and conclusive court judgment voiding the declaration of guardianship or assistance, and stock certificates held by such shareholder that bear the old chop, to the company to carry out specimen chop card replacement and registration procedures.
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