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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 3-1     A company referred to in paragraph 2 of the preceding article shall submit to an institution designated by this Commission relevant documents evidencing that it meets the conditions. It may not accept a mandate to handle matters in connection with shareholders' meetings until after the institution has reviewed the documents and forwarded them in a report to this Commission for recordation.
    This commission or an institution designated by this Commission may from time to time inspect the qualifications of a company referred to in the preceding paragraph, and the company may not refuse inspection. A company that refuses inspection shall be deemed unqualified, and shall be prohibited from accepting a mandate to handle matters in connection with shareholders' meetings for a period of three years. If upon inspection a company is found to be unqualified in any way, and fails to make supplementations or corrections within a deadline upon being notified to do so by this Commission or an institution designated by this Commission, it may not accept a mandate to handle matters in connection with shareholders' meetings until such time as it has made the supplementations or corrections.
    When there is any change to the paid-in capital, or to a securities-firm shareholder, independent director, or supervisor or deputy supervisor, or any amendment to the internal control system, of a company referred to in paragraph 1, the company shall report to an institution designated by this Commission within five days after the change or amendment.
    If a company fails to comply with the preceding paragraph, or fails to make supplementations or corrections within a deadline upon being notified to do so by this Commission or an institution designated by this Commission, it may not accept a mandate to handle matters in connection with shareholders' meetings until such time as it has made the supplementations or corrections.