REQUIREMENTS FOR STOCK AFFAIRS
‧Transfer Registration
‧Loss of Stock Certificates and Re-Issuance of Lost Stock Certificates
‧Apply for Address Change
‧Apply for Chop Change/Chop Loss/Change of Account Name Registration
‧Draw the Cash Dividends and Stock Certificates
‧Stock Pledge Registration/ Removal of Stock Pledge Registration
‧Others

Transfer Registration >> Private Transfer of Listed/Unlisted Stocks
Purchased through Securities Firms or Withdrew from Taiwan Depositary & Clearing Corp.(TDCC)
Transfer via gift
Transfer via Inheritance
Combination of the Same Shareholder's Account

Suggestion: If your stock certificates have been deposited in your Security Central Depository Account, and you want to process the private transfer, transfer via gift, or transfer via inheritance, you may prepare all relevant transfer documents through your security firm to handle the transfer.

Private Transfer of Listed/Unlisted Stocks
  1. Specimen chop of transferor
  2. Chop of transferee (Specimen chop shall be required if the transferee is an original shareholder)
  3. Stock Certificate
  4. Securities Transaction Tax payment sheet
  5. Transfer application
  6. A piece of Specimen Chop Card (Not necessary for an original shareholder)
  7. A copy of transferee's National Identity Card (Including the front and the back side)(Not necessary for an original shareholder)

Note:

  • Private transfer of listed stocks shall not be in excess of 1,000 stocks each time, and the interval between any two such transfer shall not be less than three months.
  • Transfer to a relative within the second degree or closer must be handled via the gift transfer procedures, if not in this way, the shareholder shall attach the payment certification issued by the tax authority.
Purchased through Securities Firms or Withdrew from
Taiwan Depositary & Clearing Corp. (TDCC)
  1. Transfer application
  2. Purchasing Report or documentary proof issued by securities firms ﹙Trading Sheet issued by securities firms or delivery voucher withdrawn from TDCC﹚
  3. Stock Certificate
  4. A copy of transferee's National Identity Card (Not necessary for an original shareholder)
  5. A piece of Specimen Chop Card (Not necessary for an original shareholder)
  6. Chop of transferee (Specimen chop shall be required if the transferee is an original shareholder)

Note:

  • The stocks withdrawn from TDCC shall be stamped with the "date of withdrawal" on the transfer application and the delivery voucher.
Transfer via gift
  1. Specimen chop of transferor / giver
  2. Chop of transferee / receiver (Specimen chop shall be required if the transferee / receiver is an original shareholder)
  3. Stock Certificate
  4. Certificates proving that Gift Tax has been paid or exemption from Gift Tax payment issued by tax authorities and a copy of them
  5. Transfer application
  6. A piece of Specimen Chop Card (Not necessary for an original shareholder)
  7. A copy of transferee's National Identity Card (Including the front and the back side) (Not necessary for an original shareholder)

Note :

  • Where the receiver is a minor, his / her parents' chops shall be required additionally.
  • Instead of Item 4, in case of gift between a couple, certificates proving that the specific gift will not be added to the gross gift amount issued by the National Tax Administration shall be attached.

 

Transfer via Inheritance
  1. Chop of inheritor
    A piece of Specimen Chop Card of the inheritor and a copy of inheritor's National Identity Card (Not necessary for an original shareholder)
  2. Transfer application
  3. All stock certificates of the inherited party
  4. Line of inheritance chart (family tree)
  5. The current household registry of the inheritor. It shall not be attached if the inheritor is a foreigner.
  6. Stocks distribution agreement of all inheritors (It must be stamped by all inheritors); where a judgment is rendered by a court, the judgment shall be supplied.
  7. Certificates proving that Inheritance Tax has been paid or exemption from Inheritance Tax payment submitted by tax authorities.
  8. All inheritors' identity documents:
  (1) Domestic inheritor: A copy of inheritor's National Identity Card (Including the front and the back side) or the inheritor's chop certificate issued by the household registration office. If the inheritor is a minor, the statutory agent's National Identity Card or chop certificate issued by the household registration office shall also be attached.
  (2) For a foreign inheriting party, the residence certificate, passport, certificate legalized by an ROC representative body or issued by local court or government agency in the shareholder's home country, or identity document notarized by a statutory notary institution in the inheriting party's home country.
  (3) Where the inheriting party consigns other person to process the transfer on his/her behalf, the consignee shall be a citizen of the Republic of China, and the consignee's National Identity Card and the power of attorney shall be presented.
  (4) An inheriting party who is a person of the mainland China area shall submit inheritance relationship documents that have been certified by the Straits Exchange Foundation and the inheritance relationship certificate or similar documents issued by a notary authority within the mainland China area.
  (5) If an inheriting party cannot personally come to Taiwan to process such matters due to his special status or other reasons, such person shall attach a legally recognized power of attorney and appoint a third person located within the Taiwan area to process such matters.

* Transfer via Inheritance
Combination of the Same Shareholder's Account
  1. Specimen chop
  2. Stock Certificates
  3. Transfer Application
  4. Shareholder's identity documents