Regulations Governing the Administration of Shareholder Services of Public Companies Article 4
A company whose stock is listed on the stock exchange or traded on the OTC market and that handles its own shareholder services, or a shareholder services agent of such a company, for the handling of shareholder services, shall allocate a sufficient number of personnel, provide them with appropriate training and management, and meet the following conditions:1. At least 1 of the shareholder services agent's executive personnel must possess at least 5 years of practical experience in shareholder services operations; at least one-third of its associated persons handling shareholder services, and no less than 5 in all, must meet one of the following criteria. However, this ratio requirement does not apply if at least 20 of its associated persons handling shareholder services meet the criteria:A. Have three or more years of practical experience in shareholder services.B. Are an agent or senior agent of a securities firm.C. Have successfully passed the shareholder services examination held by an institution designated by this Commission.2. If a company handles its own shareholder services, at least 1 of its executive personnel must possess at least 5 years of practical experience in shareholder services operations, and at least 5 of its associated persons handling shareholder services shall meet one of the qualifications set out under the preceding subparagraph.Personnel of a shareholder services agent who are counted toward the minimum standards for numbers of personnel set forth in the preceding paragraph shall be full-time employees. At a company that handles its own shareholder services, at least three of the personnel counted as meeting the qualifications of the preceding paragraph shall be full-time employees, and the remainder may be part-time employees.The associated persons handling shareholder services shall participate in education and training courses related to shareholder services that are held by the institution designated by this Commission, in accordance with the number of such course hours as required by that institution.If a company handles shareholder services for itself or for another company whose stock is listed on the stock exchange or traded on the OTC market, it shall report the basic information of the executives and associated persons for such services to the institution designated by this Commission before such employees carry out their duties, and file a summary report of any changes thereto by the 15th day of the month following the month in which such changes occurred.
中文原文 公開發行股票公司股務處理準則第4條
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者與代辦股務機構辦理股務事務時，應配置足夠人員，給予適當之訓練及管理，並具備下列條件：
一、代辦股務機構之主管至少一人須有五年以上之股務作業實務經驗；其辦理股務之業務人員中應有三分之一以上具備下列資格之一，且不得少於五人。
但辦理股務之業務人員符合資格已達二十人者，不受前揭比例之限制：
（一）股務作業實務經驗三年以上。
（二）證券商高級業務員或業務員。
（三）本會指定機構舉辦之股務作業測驗合格。
二、公司自辦股務者，其主管至少一人須有五年以上之股務作業實務經驗，辦理股務之業務人員至少應有五人符合前款各目所定資格之一。
代辦股務機構符合前項最低人數標準之人員，應為專任；公司自辦股務符合前項資格之人員，至少三人應為專任，其餘得為兼任。
辦理股務之業務人員，應依本會指定機構所定時數，參加該機構舉辦之股務相關教育訓練課程。
公司自辦或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，應於其主管及業務人員執行職務前，向本會指定機構申報該等人員之基本資料，有異動者，應於異動後次月十五日前，將異動情形彙總申報。
一、代辦股務機構之主管至少一人須有五年以上之股務作業實務經驗；其辦理股務之業務人員中應有三分之一以上具備下列資格之一，且不得少於五人。
但辦理股務之業務人員符合資格已達二十人者，不受前揭比例之限制：
（一）股務作業實務經驗三年以上。
（二）證券商高級業務員或業務員。
（三）本會指定機構舉辦之股務作業測驗合格。
二、公司自辦股務者，其主管至少一人須有五年以上之股務作業實務經驗，辦理股務之業務人員至少應有五人符合前款各目所定資格之一。
代辦股務機構符合前項最低人數標準之人員，應為專任；公司自辦股務符合前項資格之人員，至少三人應為專任，其餘得為兼任。
辦理股務之業務人員，應依本會指定機構所定時數，參加該機構舉辦之股務相關教育訓練課程。
公司自辦或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，應於其主管及業務人員執行職務前，向本會指定機構申報該等人員之基本資料，有異動者，應於異動後次月十五日前，將異動情形彙總申報。