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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 40     Where a stock certificate is lost and replacement procedures are commenced, it shall be commenced as follows:
  1. The shareholder or the legal owner shall report the event to the police authorities for handling or recordation, complete the loss of stock application, and send such to the company for its examination and recordation; where the transfer has not been previously registered, the securities firm or the transferor shall supply documentary proof.
  2. The applicant shall, within five days, apply to the courts under the Code of Civil Procedure for public announcement of the event, and a copy of the court application and the court acceptance voucher shall be sent to the company; where such procedure is not commenced upon the expiration of the time period, the company may cancel the application for lost stock certificates.
  3. Upon issuance of the public announcement ruling by the courts, the applicant shall send a copy of the announcement made in the newspaper to the company, and upon the expiration of the period of public announcement, the applicant may apply to the company for issuance of replacement stocks by attaching the court judgment declaring the lost stock certificates void.
  4. To cancel a report of loss of stock certificates, an applicant shall complete an application for cancellation of a report of loss of stock certificates and send it to the company for examination and recordation; where the applicant has already applied to a court for public announcement of the event or for a judgment voiding the stock certificates pursuant to the Code of Civil Procedure, the applicant shall submit photocopies of the application to the court for cancellation of the public announcement or for withdrawal of the judgment voiding the stock certificates, and of the receipt issued by the court for the documents.
    When processing matters in accordance with Subparagraph 1 of the preceding paragraph, and the lost stock certificates have been registered in the dedicated account of the centralized securities depository enterprise, the applicant shall attach documents showing that such stocks have been withdrawn from the centralized securities depository enterprise.
    While the stock is still in the process of public announcement, the dividends (capital interest), bonuses, distributed stock dividends and other ancillary rights accumulated during the period shall be held and not distributed by the company until the court judgment has been issued.
    Where a third person is consigned to apply for the lost of stock certificates, a natural person shall provide a power of attorney, and a juristic person shall provide an application letter, and the power of attorney and the application letter shall be signed or chopped with the original specimen chop.
    Upon the company completing the application for the lost of stock certificates, if the lost certificates are discovered, a notation stating "Registered Lost Stock Certificates" shall be affixed on such stock certificates and on its transfer application.