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Article NO. Content

Title:

Regulations Governing the Administration of Shareholder Services of Public Companies  CH

Amended Date: 2021.03.02 (Articles 3, 3-2, 3-3, 3-5, 6, 14, 15, 18, 20, 30, 33, 40, 44-5, 49-2, 50 amended,English version coming soon)
Current English version amended on 2015.12.21 
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, securities investment trust funds, or under trust contracts, the shareholders register of the company may be registered under a specialized account name that can clearly identify the rights and obligations relating to the stock certificates.
    A company with shares listed on the stock exchange or traded in the OTC market that issues employee stock option certificates to foreign nationals employed by an overseas subsidiary may, when foreign employees exercise the stock options and obtain certificates of payment for exercising stock options issued by the company or company stock certificates, transfer the certificates of payment for exercising the stock options or the company stock certificates directly into an investment account opened by its overseas subsidiary pursuant to the Regulations Governing Investment in Securities by Overseas Chinese and Foreign Nationals, and make the entry in the company's shareholders register in the name of said account.
    The registration referred to in the preceding paragraph may be itemized by the specific subsidiaries of the company whose shares are listed on the stock exchange or traded in the OTC market and by the year of issue and issue number.
    If the company whose shares are listed on the stock exchange or traded in the OTC market, or foreign employees of an overseas subsidiary thereof, are unwilling to follow the procedures set forth in paragraph 3, the foreign employees of the individual subsidiary shall themselves open investment accounts for such purpose.
    A company shall not open two or more accounts for the same shareholder.