CSBC Corp., Taiwan

Guidelines for Management of Shareholder Services

Chuan-Tai-Zih No. 1040001088 on June 4, 2015

Chapter 1 / General Provisions
Article 1 / The Guidelines have been established to include the management of shareholder services in the control activities of the internal control system in accordance with Article 8 of the Regulations Governing Establishment of Internal Control Systems by Public Companies, asissued by the Financial Supervisory Commission (hereinafter referred to as FSC).
Article 2 / The Company and the institution entrusted to handle shareholder services (hereinafter referred to as the shareholder services agent) shall handle such services in accordance with the Regulations Governing the Administration of Shareholder Services of Public Companies (hereinafter referred to as the Regulations Governing the Administration of Shareholder Services) issued by FSC and the Guidelines.
Article 3 / The shareholder services referred to in the Guidelines include the following affairs:
  1. Opening an account for a shareholder, and changing the basic information of a shareholder;
  2. Transferring stock ownership, creating or cancelling a pledge, reporting the loss, canceling a loss report, registering other changes, and merging or splitting stocks;
  3. Convening shareholders' meetings;
  4. Distributing cash and stock dividends;
  5. Rights issues of stocks;
  6. Outsourcing the printing of stock certificates;
  7. Handling shareholders' inquiries or affairs related to shareholder services asspecified by government agencies;
  8. Handling other shareholder services approved by FSC.

Article 4 / The shareholder services of the Company may be entrusted to other institutions. Such institutions shall be limited to integrated securities firms and to the banks and trust enterprises that are permitted by law to handle business for others.
When handling the shareholder services, the Company or the shareholder services agent shall pay attention to protecting the rights and interests of the shareholders and the safety of securities transactions.
Article 5 / In the event of a change in the business location, the unit handling the shareholder services shall make an announcement and report the change to the Stock Exchange Corporation, with a carbon copy to FSC and the centralized securities depository enterprise, within three days of the decision.
Article 6 / When handling the shareholder services, the Company or the shareholder services agent shall deploy a sufficient number of personnel and provide them with proper training and management. Such personnel shall meet the following conditions:
  1. At least one of the shareholder services agent's supervisory personnel must possess five years or more of practical experience in shareholder services. At least one-third, but no less than five, of itsbusiness personnelwho handle the shareholder services shall meet one of the following qualifications. However, this ratio requirement does not apply if at least twenty business personnel who handle the shareholder services meet the qualifications:
(1)Having three years or more of practical experience in shareholder services;
(2)Serving as an agent or a senior agent in a securities firm;
(3)Having passed the shareholder services examination held by an institution designated by FSC.
  1. If the Company handles its own shareholder services, at least one of its supervisory personnel must possess five years or more of practical experience in shareholder services, and at least five of its business personnel who handle the shareholder services shall meet one of the qualificationsspecified in the items of the preceding subparagraph.
The shareholder services agent’s personnel who are counted toward the minimum standard for numbers of personnel as set forth in the preceding paragraph shall be full-time employees. In the event that the Company handles its own shareholder services, at least three of the personnel who meet the saidqualificationsshall be full-time employees, and the remainder may be part-time employees.
The business personnel who handle the shareholder services shall attendshareholder services-related education and training courses organized by the institution designated by FSC in accordance with the number of course hours required by the institution.
The Company (when handlingits own shareholder services) or the shareholder services agent shall report the basic information of the supervisory and business personnel to the institution designated by FSC before such personnel carry out their duties, and shall file a summary report on any change thereof by the 15th day of the month following the change.
Article 7 / The facilities for handling the shareholder services shall conform to the following requirements:
  1. Necessary computer facilities and a seal comparison/verification system;
  2. Avaultthat is fireproof, waterproof and burglar-proof, and that is operated pursuant to the yet-to-be-established Regulations for Management of Vaults.

Article 8 / Documents and forms used for handling the shareholder services shall be stored in accordance with the periods specified below after the handling procedures have been completed:
  1. Shareholder registers, registration forms of lost stock certificates, shareholders’seal specimens, vouchers for rights issues of stocks and shareholders’ meeting minutes shall be stored permanently.
  2. Vouchers for the issuance of cash dividends shall be stored for at least five years.
  3. Other documents and forms used for the handling of shareholder services shall be stored for at least three years. However, copies of ID cards, replaced and void stock certificates, and stock owners lists sent by the centralized securities depository enterprise may be stored for only one year.
  4. The attendance lists bearing the signatures of the shareholders present at the shareholders’ meetings and the powers of attorney for the proxies shall be kept for a period of at least one year. However, if a lawsuit has been filed by a shareholder pursuant to Article 189 of the Company Act, the documents shall be kept until the conclusion of the lawsuit.

Article 9 / When a shareholders’ meeting is convened, the meeting shall be attended by personnel with the qualifications specified in Article 6.
Chapter 2 / Entrusting
Article 10 / If the shareholder services of the Company is entrusted to an agent, dedicated personnel shall be assigned to contact and communicate with the shareholder services agent regarding relevant matters.
Article 11 / During the period when the shareholder services of the Company is entrusted to a shareholder services agent, the Company must not revert to handling some of the shareholder services on its own, with the exception of notifications for and the issuance of cash dividends and capital increase shares for its employees, directors and greater-than-ten-percent shareholders.
When the aforesaid operations are being carried out, the provisions of Articles 6 and 7 do not apply to the personnel carrying out the operations and the facilities.
Unless otherwise specifically approved by the central authority in charge of the object enterprise, when new shares are issued, ten to fifteen percent of the total new shares issued shall be reserved for the employees of the Company in accordance with the Company Act.The Company shall specify the number of shares for which each of its employees may subscribe. The remainder shall be handled pursuant to the Regulations Governing the Offering and Issuance of Securities by Securities Issuers, as issued by FSC.
Article 12 / In case of reporting for others, inquiries from government agencies about the shareholder services, or production of files for declaring dividend income,the shareholder services agent shall complete such matters within a specified period of time and send a carbon copy to the Company.
Article 13 / The replacement of the shareholder services agent shall be resolved by the board of directors, and shall be reported to the institution designated by FSC for recordation after the Company enters into an agreement with the new shareholder services agent.
In case of replacement of the shareholder services agent pursuant to the preceding paragraph, the Company shall make an announcement and report the replacement to the Stock Exchange Corporation, with a carbon copy to FSC, within three days commencing on the date of receipt of the recordation letter from the institution designated by FSC.
Article 14 / When theCompany makes a change from entrusting the shareholder services to handling those services on its own, such a change shall be resolvedat the shareholders’ meeting, and an application shall be submitted to the institution designated by FSC for its approval.
When the aforesaid application has been approved, the Company shall make an announcement and report the change to the Stock Exchange Corporation, with a carbon copy to FSC, within three days commencing on the date of receipt of the approval letter from the institution designated by FSC.
Article 15 / The dedicated personnel of the Company shall perform random inspections on the shareholder services agent each year to examine whether its relevant operations conform to the provisions of the Regulations Governing the Administration of Shareholder Services and the Guidelines.
Chapter 3 / Supplementary Provisions
Article 16 / The internal control system of the Company is incorporated into the Guidelines, so that the internal auditors may investigate the status of compliance on an irregular basis and produce an audit report, thus thoroughly managing the shareholder services.
Article 17 / The Guidelines take effect upon approval by the Audit Committee and resolution by the board of directors. The same procedures shall also apply to any amendment thereto.

This English version is a translation of the Guidelines for Management of Shareholder Services in Chinese. In case of any discrepancy, the Chinese version shall prevail.

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