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Title	Taiwan Depository & Clearing Corporation Operation Directions for the eNotice Platform CH
Date	2024.11.26 ( Amended )

Article Content

Chapter I General Principles

Article 1

The eNotice platform (hereinafter, "the platform") is established and these Directions adopted by TDCC to enable investors to express consent for receipt of, and to receive, electronic notifications regarding shareholder services, and enable issuers to send electronic notifications regarding shareholder services and fund services (hereinafter, collectively, "shareholder services").
The scope of the electronic notifications regarding shareholder services handled through the platform shall be limited to the scope approved by the Financial Supervisory Commission.

Article 2

The platform is Internet-based and enables users, including investors, issuers, or their shareholder services agent (hereinafter, "services agent"), to log in to the platform by an identity verification method set out in Article 4 and make use of electronic notifications regarding shareholder services.
If an investor under the preceding paragraph has a domestic custodian as its agent, the custodian shall be the user of the platform, and the custodian shall obtain the investor's declaration of intention in which the investor consents to receive electronic notifications regarding shareholder services.

Chapter II Application for the Service and Verification of Identity

Article 3	An issuer that handles electronic notifications regarding shareholder services through the platform must enter into a mandate contract with TDCC for electronic notifications regarding shareholder services 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. If the issuer's services agent has established an electronic notification platform for shareholder services, the issuer shall issue a statement regarding matters including the electronic notification platform chosen to be used, the principles of delivery, and related rights and obligations, and affix its seal/signature-of-record and submit it to TDCC. If a services agent is mandated by the issuer to handle data processing related to electronic notifications regarding shareholder services, it shall complete an application information form, affixing its seal/signature-of-record, and submit it to TDCC to designate the electronic certificate that it will use on the platform. If the services agent has previously been mandated by the issuer to handle electronic voting affairs, the services agent may designate the use of its original seal/signature-of-record.
Article 4	When a user will log in to the platform with an electronic certificate for identity verification, they shall log in using any of the following types of electronic certificate that have been publicly announced through the platform as valid: 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 by the platform. An investor who is a natural person may, as an additional alternative to as provided in the preceding paragraph, log in through a smart mobile device by the following methods: Log in using the TDCC ePASSBOOK App as the identity verification method. Log in using the Taiwan Fast Identity Online (TW FidO) App. Log in by another Fast Identity Online (FidO) means announced on this platform.
Article 5	The first time an investor uses 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 investor already uses the TDCC eMeeting platform. An investor may log in to the platform at any time to change the email address they have saved in the platform. However, if a shareholder or fund beneficiary referred to in Article 9, subparagraph 2 has not made an email address change more than 1 day before the delivery date for a particular electronic notification regarding shareholder services, that electronic notification regarding shareholder services will still be sent to the original email address.
Article 6	If an investor wishes to receive shareholder services notifications electronically, they must perform the matters listed below on the platform more than 1 business day before the starting date of the book closure period for the cause for which the issuer is giving the particular notification: Consent to receive electronic notifications regarding shareholder services for any specific securities or any specific funds of which they now are or in the future become a shareholder or beneficiary. Select the period for which they consent to receive electronic notifications regarding shareholder services. An investor's declaration of intention under the preceding paragraph will continue in effect if, after the investor loses their status as a shareholder of an issuer or as a beneficiary of a fund, they subsequently regain shareholder or fund beneficiary status. An investor may log into the platform at any time to change or terminate the declaration of intention under paragraph 1, and the period of consent after the change will restart. However, a shareholder or fund beneficiary who fails to declare the change or termination of the declaration of intention by the deadline under paragraph 1 will still receive the current electronic notifications regarding shareholder services.

Chapter III Shareholder Service eNotice Operations

Article 7	The issuer or its services agent shall, from 11 business days to 8 business days before the starting date of the book closure period, using the electronic certificate it designated for use on the platform, input the relevant electronic notification and dividend or income distribution data to the platform, whereupon, the issuer will be deemed to have applied to TDCC for the platform service for the current dividend or income distribution. If the issuer distributes stock dividends in any form other than certificates of entitlement to new shares, among the dividend distribution data under the preceding paragraph, the dividend distribution date and the electronic notification transmission date may be input to the platform at any time more than 2 business days before the electronic notification transmission date. If the issuer or its services agent wishes to cancel an application under paragraph 1, they shall apply to TDCC through the platform more than 2 business days before the starting date of the book closure period. If the issuer or its services agent wishes to change data that has been input under paragraph 1, it shall make the change on the platform more than 2 business days before the electronic notification transmission date.
Article 8	After the issuer or its services agent has applied for the platform service under paragraph 1 of the preceding article, TDCC shall compare the register of securities owners or register of beneficiaries with the information on shareholders or fund beneficiaries who have applied to receive electronic notifications regarding shareholder services under Article 6 and, within 3 days from the starting date of the book closure period, use the register of securities owners or register of beneficiaries to provide the issuer or its services agent with the details of the shareholders or fund beneficiaries who have consented to receive electronic notifications regarding shareholder services. The issuer or its services agent shall, more than 1 business day before the electronic notification transmission date, in the media file format specified by TDCC, provide TDCC with the shareholder services data and the details of the shareholders or fund beneficiaries who are entitled to receive electronic notifications regarding shareholder services.
Article 9	After TDCC receives the shareholder services data and shareholder or fund beneficiary details provided by the issuer under the preceding paragraph, it will proceed with the electronic notifications as follows: For any shareholder or fund beneficiary that has a domestic custodian as agent, or that is a securities investment trust enterprise or other institution designated by TDCC, TDCC will notify such institutions or enterprises by email to go to the platform and perform batch downloading of the shareholder services details. For shareholders or fund beneficiaries other than those under the preceding subparagraph, TDCC will send an email to the email address they have saved on the platform. If a shareholder or fund beneficiary has activated the ePASSBOOK App, it will additionally send a push notification.

Chapter IV Query Operations

Article 10	An investor may query through the platform the scope of the securities and the period for which they have consented to receive electronic notifications regarding shareholder services. If the circumstance in Article 3, paragraph 3 applies to the issuer, an investor may query through the platform the information on the electronic notification platform that the issuer has chosen to engage and its principles of delivery.
Article 11	After the platform has electronically sent notifications regarding shareholder services to shareholders or fund beneficiaries, the issuer or its services agent may query the notification results on the platform.
Article 12	If a shareholder or fund beneficiary has any questions on matters relating to electronic notifications regarding shareholder services, they should inquire with the issuer or its services agent.
Article 13	A shareholder or fund beneficiary may, within 3 years from the electronic notification transmission date, query and download from the platform the content of electronic notifications regarding shareholder services transmitted by the issuer. If the time limit in the preceding paragraph has passed, the shareholder or fund beneficiary still may inquire with the issuer or its services agent about the content of notifications.

Chapter V Supplementary Provisions

Article 14	The issuer's use of the platform to handle electronic notifications regarding shareholder services is without prejudice to the issuer's notification obligations to shareholders or fund beneficiaries under the Company Act, the Securities and Exchange Act, the Securities Investment Trust and Consulting Act, the Regulations Governing the Administration of Shareholder Services of Public Companies, the Regulations Governing Securities Investment Trust Funds, the Regulations Governing Futures Trust Funds, or other laws and regulations.
Article 15	Each time that an issuer uses the platform to send electronic notifications regarding shareholder services, it shall make timely payment of fees in accordance with the fee standards set by TDCC.
Article 16	All matters on which these Directions are silent shall be governed in accordance with TDCC's Q&A on electronic notifications regarding shareholder services and other applicable rules.