Shareholder Services Audit
The Financial Regulatory Commission designates our company to be the business of investors or stock affairs units asking questions about stock affairs business. In order to be able to implement it accurately and effectively, the company classifies, screens, compiles and answers the inquiries about stock affairs business doubts, and makes them into questions and answers. Collection, published on the company's website for public reference.
• To audit the stock affairs and internal control operations of listed, OTC, and emerging market companies in relation to their equity units. In the event of legal disputes or other uncertainties related to equity operations, relevant units should be invited to study and address the issue.
• To review and inspect the qualification requirements of companies entrusted with handling matters related to shareholders' meetings.
• To conduct evaluations of self-operated or delegated equity companies or agencies for listed, OTC, and emerging market companies, and to establish and revise evaluation items, content, standards, and results.
• To receive and handle the reporting and filing of the change of delegated equity agencies for listed, OTC, and emerging market companies.
• To handle the review and related matters for applications from shareholders or the Securities Investors Protection Corporation (SIPC) of listed, OTC, and emerging market companies who comply with Article 3-4-1 of the Equity Processing Standards to delegate shareholders' meeting affairs to delegated equity agencies.
• To handle the relevant education and training of equity personnel of listed, OTC, and emerging market companies, as well as the appointment, personnel changes, and review of equity personnel of self-operated or delegated equity companies and agencies.
• To establish and revise the "Internal Control System Standards and Regulations for Equity Units".
• To receive and handle the reporting and filing of unclaimed stocks, blank stock management regulations, and inventory plans from self-operated or delegated equity companies or agencies of listed, OTC, and emerging market companies.
• To review and inspect the qualification requirements of those who handle solicitation affairs on behalf of the company.
• To verify the proxies during the period of proxy solicitation for shareholders' meetings.
(Chinese version only)