Regulations Governing Book-Entry Operations for Centrally Deposited Securities Article 29-1
When a transfer of securities by a customer, other than on a centralized securities exchange market or an over-the-counter market, is carried out by book-entry transfer, the customer shall submit the transfer information and relevant documentation to the participant along with its request to handle the transfer, in accordance with the provisions of the Criteria Governing Handling of Stock Affairs by Public Stock Companies. The participant shall notify the CSDE by keying into the computer information regarding the securities that should be transferred and delivered from the customer to the transferee, and shall make the necessary entries in the customer s account books.When the application for transfer of securities under the preceding paragraph is one for transfer of bonds, beneficial securities, or asset-backed securities and not of a private placement nature, the application shall be reviewed and confirmed by the participant; with respect to applications for transfer of other securities, the participant shall submit the transfer information and relevant documentation to the CSDE, and the CSDE shall forward the information and documentation to the issuer for review and confirmation.Once the securities to be transferred by application have been reviewed and verified as correct by the participant or issuer, the CSDE shall transfer such securities from the "sub-account pending settlement" on the transferor's participant account book to the "sub-account of the customers" on the transferee's participant account book.The provisions of paragraph 1, the latter part of paragraph 2, and the preceding paragraph shall apply mutatis mutandis to transfers of securities by participants other than on a centralized securities exchange market or an over-the-counter market, with the exception of transfers of bonds, beneficial securities, and asset-backed securities that moreover are not of private placement nature, which transfers shall be reviewed and confirmed by the CSDE.
中文原文 有價證券集中保管帳簿劃撥作業辦法第29-1條
客戶非於證券集中交易市場及證券商營業處所所為之有價證券轉讓，以帳簿劃撥方式辦理時，應依公開發行股票公司股務處理準則規定檢具過戶資料及相關證明文件向參加人申請辦理；由參加人將客戶應劃撥交付受讓人之有價證券相關資料輸入電腦通知保管事業，並於客戶帳簿為必要之記載。
前項申請轉讓之有價證券屬債券、受益證券、資產基礎證券，且非私募者，應由參加人審核確認；其他有價證券之轉讓作業，應由參加人將過戶資料及相關證明文件送交保管事業轉送發行人審核確認。
申請轉讓之有價證券經參加人或發行人審核確認無誤後，保管事業即自轉讓人之參加人帳簿客戶所有部分，如數撥入受讓人之參加人帳簿之客戶所有部分。
參加人非於證券集中交易市場及證券商營業處所所為之有價證券轉讓，除屬債券、受益證券、資產基礎證券，且非私募者，應由保管事業審核確認外，其他有價證券準用第一項、第二項後段及前項規定辦理。
前項申請轉讓之有價證券屬債券、受益證券、資產基礎證券，且非私募者，應由參加人審核確認；其他有價證券之轉讓作業，應由參加人將過戶資料及相關證明文件送交保管事業轉送發行人審核確認。
申請轉讓之有價證券經參加人或發行人審核確認無誤後，保管事業即自轉讓人之參加人帳簿客戶所有部分，如數撥入受讓人之參加人帳簿之客戶所有部分。
參加人非於證券集中交易市場及證券商營業處所所為之有價證券轉讓，除屬債券、受益證券、資產基礎證券，且非私募者，應由保管事業審核確認外，其他有價證券準用第一項、第二項後段及前項規定辦理。