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Article 5
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Companies whose stocks are listed on the stock exchange or traded on the OTC market and that handle their own shareholder services, and shareholder services agents of such companies, must have facilities for handling shareholder services complying with the rules below:
- Must have the necessary computer facility and chop comparison/verification equipment.
- Must have a safe equipped to deal with fire, floods, and burglars, and establish and follow rules for management of the safe.
Companies whose stocks are not listed on the stock exchange or traded on the OTC market and that handle their own shareholder services shall have a safe storage room and shall establish and follow rules for management of their storage room, as well as have sufficient hardware equipment and other facilities.
The provisions of the preceding paragraph shall apply to the facilities used to handle their own shareholder services by companies whose stocks are listed on the stock exchange or traded on the OTC market and that issue all their stocks in scripless form.
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