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Title	Taiwan Depository & Clearing Corporation Operation Directions for the Shareholder Services eCounter Platform CH
Date	2025.02.25 ( Announced )

Article Content

Article 1

The shareholder services eCounter platform (hereinafter, "the platform") is established and these Directions adopted by TDCC to enable investors to apply electronically to issuers for shareholder services transactions (hereinafter, "applicants").

Article 2

    The platform is internet based and provides applicants and issuers with services to transmit and receive electronic documents for shareholder services applications, electronic signatures, and electronic files of related supporting documents (hereinafter, collectively, "application materials") via the platform.
    The scope of the services under the preceding paragraph shall be limited to the scope approved by the Financial Supervisory Commission.
    If an issuer has mandated a shareholder services agent to handle its shareholder services, the receipt of application materials via the platform and the matters required to be handled by the issuer under Chapters III and IV of these Directions and related operations shall be done by the issuer's shareholder services agent.

Article 3	An issuer that will use the platform must sign a shareholder services eCounter services usage contract with TDCC and submit the following documents to TDCC: Photocopy of the first page of its company amendment registration form or document proving its incorporation as a juristic person. Basic information form, and designation to TDCC of the electronic certificate that it will use on the platform. Seal/signature specimen card. If the issuer has already entered into a mandate contract for electronic voting affairs with TDCC, it may designate the use of its original seal/signature-of-record and does not need to submit the documents in subparagraphs 2 and 3 of the preceding paragraph. When an issuer signs the contract under paragraph 1 with TDCC, it is deemed to have agreed for its shareholders to apply for shareholders services electronically in accordance with the Electronic Signatures Act. If an issuer is a public company whose shares are not listed on the Taiwan Stock Exchange, listed on the Taipei Exchange, or traded on the Emerging Stock Board, it shall mandate a shareholder services agent that meets the requirements of the Regulations Governing the Administration of Shareholder Services of Public Companies (hereinafter, the "Shareholder Services Regulations") to handle shareholder services before it may apply to use the platform. After an issuer signs a contract with TDCC, if there is any termination of the mandate of its shareholder services agent, the issuer shall proactively notify TDCC, and TDCC may suspend provision of services on the platform until the issuer has again mandated a shareholder services agent.
Article 4	If an issuer mandates a shareholder services agent to handle shareholder services, its shareholder services agent shall complete an application form and affix its original seal/signature-of-record, and designate to TDCC the electronic certificate that it will use on the platform. If the shareholder services agent has previously been mandated by the issuer to handle electronic voting affairs, the shareholder services agent may designate the use of its original seal/signature-of-record, without the need to complete the aforementioned application form.
Article 5	When an applicant, issuer, or their shareholder services agent will log in to the platform, they shall log in using any of the following types of electronic certificate that have been publicly announced through the platform: Securities Online Trading Certificate. Online Banking Certificate. Common Certificate for Securities and Futures. Citizen Digital Certificate. Ministry of Economic Affairs Certification Authority (MOEACA) Certificate. Other electronic certificates publicly announced through the platform. The platform, by the means of identity authentication set out in the preceding paragraph, will identify and record users that log into the platform. Applicants, issuers, or their shareholder services agents shall properly safeguard the certificates and identity authentication information under the preceding paragraph. Any actions taken using such certificates or identity authentication information shall be deemed to be actions of the applicant or issuer themselves.
Article 6	The first time an applicant logs into the platform, they shall save their email address and receive and click on the verification message to complete the registration process. This requirement does not apply, however, if the applicant already uses the TDCC eMeeting platform or eNotice platform. An applicant may log in to the platform at any time to change the email address they have saved in the platform. Once the address has been changed, all information sent by the platform will be addressed to the email address most recently saved by the applicant.

Article 7	To transmit application materials, an applicant must log into the platform, enter the shareholder services application details and upload the attached application materials, then use the electronic certificate for logging into the platform to electronically sign the entered and uploaded data, generate the electronic document for the application, and transmit it through the platform to the designated issuer. When an applicant transmits application materials in the manner set out in the preceding paragraph, they shall declare that they agree to apply for shareholder services electronically, and that all application materials submitted are free from falsification or alteration, and they shall bear responsibility therefor. After an applicant has completed the transmission procedure set out in paragraph 1, they may not withdraw the application. If they wish to withdraw a shareholder services application they have submitted, they shall handle it directly with the issuer.
Article 8	After an applicant has completed the data transmission set out in paragraph 1 of the preceding Article, the issuer may receive online the data transmitted by the applicant. In addition to the means under the preceding paragraph, the platform shall also transmit applicants' application materials to issuers daily by means of batch processing. With respect to application materials transmitted by an applicant through the platform, the platform shall be responsible only for delivering the application materials to the issuer in their entirety.
Article 9	When an issuer uses the platform to receive application materials, it shall, in accordance with relevant laws and regulations, review and verify the applicant's qualifications, electronic signature, electronic documents, and related materials. If there are any questions or doubts, the issuer shall contact the applicant directly to clarify them.
Article 10	An issuer shall complete the review of application materials within 5 business days from the business day following the applicant's application, and log into this Platform to enter the review result. If the review result is approval of the application, the issuer shall sign using an electronic certificate that complies with the requirements of the Electronic Signatures Act; if the result is rejection of the application, the issuer shall state the reasons for rejection. If the review result is approval of the application, the issuer shall handle the relevant shareholder services operations in accordance with the Shareholder Services Regulations. If the review result is rejection of the application, the platform does not provide services for the applicant to transmit supplementary materials for the application case to the issuer; the applicant must reapply on their own. After the platform receives the issuer's review result, it will notify the applicant via the email address the applicant has saved on the platform.
Article 11	When an applicant opens an account through the platform and it is approved by the issuer upon review, the applicant may submit their physical seal/signature specimen card for record when they apply for shareholder services matters in person at the counter for the first time.
Article 12	After an applicant completes the data transmission under Article 7, paragraph 1, in the event that the issuer changes its shareholder services agent, the original shareholder services agent shall still complete the review and, based on the review result, either process the shareholder services operations or reject the application. After the original shareholder services agent completes the review, it shall transfer the applicant's application materials to the new shareholder services agent for retention in accordance with the law.

Article 13	An applicant may query the following matters on the platform: Review status after the transmission of application materials. Query and download of application materials and review results within 3 years from the date of application transmission.
Article 14	Application materials of applicants and review results of issuers will be retained by the platform for 3 years from the date the applicant's application is transmitted to the issuer, and will be deleted directly upon the expiration of that period. During the retention period, the platform will provide issuers with access to inquire about the data and review results under the preceding paragraph.
Article 15	When applicants have questions or doubts regarding their application matters or review results, the issuer shall provide explanations to them and accept the exercise of various rights by applicants in accordance with the Personal Data Protection Act.

Article 16	The issuer's use of the platform to receive and process application materials from applicants for relevant shareholder services transactions is without prejudice to the issuer's obligations under the Company Act, Securities and Exchange Act, Shareholders Services Regulations, or other laws and regulations.
Article 17	All matters on which these Directions are silent shall be governed in accordance with TDCC's Q&A on the shareholder services eCounter and other applicable rules.