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.
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Regulations
Announcement01.Internal Control Standards show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
2023Standards for the Internal Control System of Shareholder Services Unit (Applicable to TWSE-listed, TPEx-listed, and Emerging-stock companies)(Chinese version only)
Shareholder Services Unit Audit and Review Internal Control Standards |
Note2023.03 | Download |
| #2. | TypeAuditing of Shareholder Services | Title
2023Amendment Comparison Table of Standards for the Internal Control System of Shareholder Services Unit (Applicable to TWSE-listed, TPEx-listed, and Emerging-stock companies)(Chinese version only)
Shareholder Services Unit Audit and Review Internal Control Standards |
Note2023.03 | Download |
| #3. | TypeAuditing of Shareholder Services | Title
2023Standards for the Internal Control System of Shareholder Services Unit(Applicable to TWSE-listed, TPEx-listed, and Emerging-stock companies)(Chinese version only)
Shareholder Services Unit Audit and Review Internal Control Standards |
Note2023.03 | Download |
| #4. | TypeAuditing of Shareholder Services | Title
2023Amendment Comparison Table of Standards for the Internal Control System of Shareholder Services Unit (Applicable to public companies that are not listed at TWSE, TPEx, and Emerging-market)(Chinese version only)
Shareholder Services Unit Audit and Review Internal Control Standards |
Note2023.03 | Download |
02.Shareholder Services Education Seminar show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
2023Shareholder Services Unit Internal Control System Standards Amendment Seminar Briefing Information(Chinese version only)
Shareholder Services Unit Audit and Review Shareholder Services Education Seminar |
Note2023.03 | Download |
03.Power of Attorney Education Seminar show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
2023Shareholders' Meeting Power of Attorney Solicitation and Usage Seminar Briefing Information(Chinese version only)
Shareholder Services Unit Audit and Review Power of Attorney Education Seminar |
Note2023.03 | Download |
04.Business Regulations show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
Shareholder Services Unit Auditing Regulations(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2012.10.05 | Download |
| #2. | TypeAuditing of Shareholder Services | Title
Deficiencies Found During Shareholder Services Unit Operation Follow-up Review and Assistance Guidelines(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2012.10.05 | Download |
| #3. | TypeAuditing of Shareholder Services | Title
Special Audit on Shareholder Services Unit Operations(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2012.10.05 | Download |
| #4. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for Declaration of Shareholder Services Unit Personnel Employment and Changes(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2015.11.19 | Download |
| #5. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for the Review of Companies in Affairs Related to Shareholders' Meetings(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2012.10.05 | Download |
| #6. | TypeAuditing of Shareholder Services | Title
Operations Guidelines for Processing Management Procedure and Inventory Plan of Stocks not Taken by Shareholders and Blank Spare Corporate Stocks Declared by Shareholders Services Unit(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2012.10.02 | Download |
| #7. | TypeAuditing of Shareholder Services | Title
Regulations on Incentives for Reporting Illegal Acquisition and Usage of Power of Attorneys for Shareholders' Meetings(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2015.02.05 | Download |
| #8. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for the Review of Companies in Affairs Related to Handling Proxy Solicitation Matters(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2016.12.22 | Download |
| #9. | TypeAuditing of Shareholder Services | Title
Operational Guidelines of Certification Documents for Applying for Professional Shareholder Services Agent for companies listed on TWSE, TPEx, or Emerging-stock market(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2017.11.29 | Download |
| #10. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for Declaration of Shareholder Services Unit Internal Audit Personnel and Changes(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2017.06.12 | Download |
| #11. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for Reviewing Application from Shareholders of TWSE/TPEX-listed, or Emerging stock companies for the Change of Conducting Shareholders’ Meeting Affairs from its own to Shareholder Services Agent(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note201310.21 | Download |
| #12. | TypeAuditing of Shareholder Services | Title
Operational Guidelines for Declarations of TWSE-listed, TPEX-listed, or Emerging-stock companies for Changing Shareholder Services Agent(Chinese version only)
Shareholder Services Unit Audit and Review Business Regulations |
Note2013.07.16 | Download |
05.Deficiencies show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
Deficiencies in Audits of Shareholder Services in the First Half of 2021(Chinese version only)
Shareholder Services Unit Audit and Review Deficiencies |
Note2021.08 | Download |
| #2. | TypeAuditing of Shareholder Services | Title
Deficiencies in Audits of Power of Attorney Solicitation in the First Half of 2021(Chinese version only)
Shareholder Services Unit Audit and Review Deficiencies |
Note2021.08 | Download |
| #3. | TypeAuditing of Shareholder Services | Title
Deficiencies Witnessed in Audits of Shareholder Services in the First Half of 2022(Chinese version only)
Shareholder Services Unit Audit and Review Deficiencies |
Note2022.08 | Download |
| #4. | TypeAuditing of Shareholder Services | Title
Deficiencies Witnessed in Audits of Power of Attorney Solicitation for Shareholders' Meetings in the First Half of 2022(Chinese version only)
Shareholder Services Unit Audit and Review Deficiencies |
Note2022.08 | Download |
| #5. | TypeAuditing of Shareholder Services | Title
Deficiencies Witnessed in Audits of Shareholder Services in the Second Half of 2022(Chinese version only)
Shareholder Services Unit Audit and Review Deficiencies |
Note2023.03 | Download |
06.Inquiry of Qualifications show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
Inquiry of Companies in Affairs Related to Handling Proxy Solicitation Matters that Meet Qualifications(Chinese version only)
Shareholder Services Unit Audit and Review Inquiry of Qualifications |
Note2021.12 | Download |
07.Application Forms show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
Employment/Change Declaration Form for Personnel of the Place of Proxy Solicitation(Chinese version only)
Shareholder Services Unit Audit and Review Application Forms |
Note2019.1.7 | Download |
| #2. | TypeAuditing of Shareholder Services | Title
Application Form for Proxy Solicitation(Chinese version only)
Shareholder Services Unit Audit and Review Application Forms |
Note | Download |
| #3. | TypeAuditing of Shareholder Services | Title
Application Form for handling Shareholders' Meetings Related Affairs(Chinese version only)
Shareholder Services Unit Audit and Review Application Forms |
Note | Download |
08.Media File Format show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
Media File Format of List of Personnel Processing Proxy Matters(Chinese version only)
Shareholder Services Unit Audit and Review Media File Format |
Note2015.3.6 | Download |
09.Shareholder Services Q&A show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
2023Shareholder Services Q&A(Chinese version only)
Shareholder Services Unit Audit and Review Shareholder Services Q&A |
Note2023.01 | Download |
12.Instructions for evaluation of stock affairs units show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title Instructions for evaluation of stock affairs units(Chinese version only) | Note2021.12 | Download |
99.e-Training Digital Learning Platform show or hide details
| # | Type | Title | Note | Download |
|---|---|---|---|---|
| #1. | TypeAuditing of Shareholder Services | Title
e-Training Digital Learning Platform User Operations Manual - For Shareholder Services Units(Chinese version only)
e-Training Digital Learning Platform e-Training Digital Learning Platform User Operations Manual |
Note2016.12.28 | Download |
(Chinese version only)