Regulations Governing the Administration of Shareholder Services of Public Companies Article 3
A public company (hereinafter referred to as "company") may engage a third party to handle its shareholder services. Such parties shall be limited to integrated securities firms and to those banks and trust enterprises that are permitted by law to handle shareholder services for others.To assist companies to successfully convene shareholders' meetings, companies limited by shares meeting the following conditions also may be engaged to handle matters in connection with shareholders' meetings:1. have paid-in capital of not less than NT$200 million;2. shareholders operating securities firm business under the Act hold an aggregate of more than 50 percent of the total number of the issued shares of the company, and any individual securities firm holds no more than 10 percent of the total number of the issued shares of the company;3. at least one-third of the directorships of the company are held by independent directors;4. personnel and the internal control system comply with the requirements of Articles 4 and 6.In handling shareholder services, the company, or the institution engaged by the company to handle such shareholder services (hereinafter referred to as a "shareholder services agent"), shall pay attention to upholding the rights and interests of the shareholders and the security of securities transactions.If a company whose stock is listed on the stock exchange or traded on the OTC market handles its own shareholder services, its personnel, facilities, and internal control system shall comply with the requirements of these Regulations.During the period in which the company under the preceding paragraph engages a shareholder services agent to handle its shareholder services, it may not revert to handling those services in-house, with the exception of notifications for and issuance of cash dividends and capital increase shares for employees, directors, supervisors, and any shareholders holding more than 10 percent of the total shares of the company. When carrying out the above operations, the provisions of Articles 4 and 5 do not apply with respect to the employees carrying out the operations and the facilities used.A company applying for the first time for its stock to be listed on the stock exchange or to be traded on the OTC market shall, before the stock is so listed or traded, publicly announce and report the name and business location of the unit handling the company's shareholder services to the stock exchange and the OTC securities exchange for record and also notify the centralized securities depository enterprise.For a stock that is listed on the stock exchange or traded on the OTC market, when the unit handling the company's shareholder services changes its business location, it shall publicly announce and report the fact to the stock exchange and the OTC securities exchange within three days from the decision, and shall also notify the centralized securities depository enterprise. A shareholder services agent that is engaged to handle shareholder services for a company with a stock listed on the stock exchange or traded on the OTC market shall also be required to make the same public announcement and report when it changes its business location.If a company is not listed on the stock exchange or traded on the OTC market and its stock certificates are in the custody of a centralized securities depository enterprise, or it has not printed stock certificates and its stocks are registered with a centralized securities depository enterprise, then prior to delivering the stock certificates into custody or registering the stocks, the company shall notify the centralized securities depository enterprise of the name and business location of the unit handling its shareholder services; when the company changes the agent handling its shareholder services or there is a change in the business location of the unit handling its shareholder services, it shall notify the centralized securities depository enterprise within three days after the decision.This Commission or an institution designated by this Commission may examine the shareholder services and internal control systems of any organizations handling shareholder services.Should any dispute occur over law or regulation or any other uncertainty arise with respect to the handling of shareholder services business, the above-stated designated institution may call together concerned bodies to deliberate and prepare an opinion on the handling of such matters, and submit it via letter to this Commission.
中文原文 公開發行股票公司股務處理準則第3條
公開發行股票公司（以下簡稱公司）處理股務事務得委外辦理；其受委託辦理者，以綜合證券商及依法得受託辦理股務業務之銀行及信託業為限。
為協助公司順利召開股東會，符合下列條件之股份有限公司，亦得受託辦理股東會相關事務：
一、實收資本額新臺幣二億元以上。
二、依本法規定經營證券商業務之股東，持有該公司股份合計超過其已發行股份總數百分之五十，且各證券商持有該公司股份未超過其已發行股份總數百分之十。
三、董事會至少有三分之一之席次，由獨立董事擔任。
四、人員及內部控制制度符合第四條及第六條規定之條件。
公司或受公司委託辦理股務之機構（以下簡稱代辦股務機構），辦理股務事務時，應注意維護股東之權益及證券交易之安全。
股票已在證券交易所上市或在證券商營業處所買賣之公司自辦股務事務者，其人員、設備及內部控制制度應符合本準則相關規定。
前項公司之股務事務於委託代辦股務機構辦理期間，除自行辦理員工、董事、監察人或持有公司股份超過股份總額百分之十之股東，其現金股利及增資股票之通知及發放作業外，公司不得將股務事務部分收回自辦。
公司辦理上開作業時，其辦理人員及設備得不適用第四條及第五條規定。
初次申請股票在證券交易所上市或在證券商營業處所買賣者，公司應於股票上市或在證券商營業處所買賣前，將辦理公司股務之單位名稱、辦公處所等向證券交易所、證券櫃檯買賣中心申報並公告，且副知證券集中保管事業。
股票已在證券交易所上市或在證券商營業處所買賣者，公司辦理股務之單位變更營業處所時，應於決定後三日內向證券交易所、證券櫃檯買賣中心申報並公告，且副知證券集中保管事業；受託辦理股票已在證券交易所上市或在證券商營業處所買賣公司之股務者，變更營業處所時，亦同。
未於證券交易所上市或未在證券商營業處所買賣之公司，股票由證券集中保管事業保管，或未印製股票而由證券集中保管事業登錄者，公司應於股票交付保管或登錄前，將辦理公司股務之單位名稱、辦公處所等通知證券集中保管事業；公司更換代辦股務機構或辦理股務之單位變更營業處所時，應於決定後三日內通知證券集中保管事業。
本會或本會指定之機構，得對辦理股務之機構有關股務業務及其內部控制作業進行查核。
對於股務業務之處理如有法令上爭議或發生其他疑義時，得由前項指定之機構邀集相關單位研議處理意見函報本會。
為協助公司順利召開股東會，符合下列條件之股份有限公司，亦得受託辦理股東會相關事務：
一、實收資本額新臺幣二億元以上。
二、依本法規定經營證券商業務之股東，持有該公司股份合計超過其已發行股份總數百分之五十，且各證券商持有該公司股份未超過其已發行股份總數百分之十。
三、董事會至少有三分之一之席次，由獨立董事擔任。
四、人員及內部控制制度符合第四條及第六條規定之條件。
公司或受公司委託辦理股務之機構（以下簡稱代辦股務機構），辦理股務事務時，應注意維護股東之權益及證券交易之安全。
股票已在證券交易所上市或在證券商營業處所買賣之公司自辦股務事務者，其人員、設備及內部控制制度應符合本準則相關規定。
前項公司之股務事務於委託代辦股務機構辦理期間，除自行辦理員工、董事、監察人或持有公司股份超過股份總額百分之十之股東，其現金股利及增資股票之通知及發放作業外，公司不得將股務事務部分收回自辦。
公司辦理上開作業時，其辦理人員及設備得不適用第四條及第五條規定。
初次申請股票在證券交易所上市或在證券商營業處所買賣者，公司應於股票上市或在證券商營業處所買賣前，將辦理公司股務之單位名稱、辦公處所等向證券交易所、證券櫃檯買賣中心申報並公告，且副知證券集中保管事業。
股票已在證券交易所上市或在證券商營業處所買賣者，公司辦理股務之單位變更營業處所時，應於決定後三日內向證券交易所、證券櫃檯買賣中心申報並公告，且副知證券集中保管事業；受託辦理股票已在證券交易所上市或在證券商營業處所買賣公司之股務者，變更營業處所時，亦同。
未於證券交易所上市或未在證券商營業處所買賣之公司，股票由證券集中保管事業保管，或未印製股票而由證券集中保管事業登錄者，公司應於股票交付保管或登錄前，將辦理公司股務之單位名稱、辦公處所等通知證券集中保管事業；公司更換代辦股務機構或辦理股務之單位變更營業處所時，應於決定後三日內通知證券集中保管事業。
本會或本會指定之機構，得對辦理股務之機構有關股務業務及其內部控制作業進行查核。
對於股務業務之處理如有法令上爭議或發生其他疑義時，得由前項指定之機構邀集相關單位研議處理意見函報本會。