Taiwan Stock Exchange Corporation

Agreement and Registration Form of Securities Transfer

For Offshore Overseas Chinese and Foreign Investors

1-1.Transferor / 1-2. Transferee
Investment ID： / Investment ID：
TSCD Account Number： / TSCD Account Number：
Name in Chinese： / Name in Chinese：
Name in English: / Name in English：
2-1. Information of Transferor’s Taiwan Agent/Representative and Custodian Bank / 2-2. Information of Transferor’s Taiwan Agent/Representative and Custodian Bank
Agent/Representative：
Contact Person：
Telephone Number： / Agent/Representative：
Contact Person：
Telephone Number：
Local Custodian：
Contact Person：
E-mail Address： / Local Custodian：
Contact Person：
E-mail Address：
3.Final Beneficiary ( Mandatory field. Fill in name of transferee if it is also final beneficiary）
Name in Chinese：
Name in English:
Telephone Number：
4.Joint Declaration: （Mandatory field. Effective from the date this registration form is signed）
(1).Both the transferor and the transferee hereby guarantee all information provided for this transfer is true and correct, and that the transfer does not involve any purchase or sale, and is made on a No Change of Final Beneficiary basis.
(2).Both the transferor and the transferee (applicants) are liable if the transfer is in violation of Article 150 of the Securities and Exchange Act or any relevant regulation of the Republic of China, involved any tax liability or if the information provided is fraudulent.
(3).Applicants agree that the details of the securities list/statement are based on the actual holdings transferred.
(4).a) If the information in the application form or supporting documentation is deemed incomplete, the applicants agree to amend it accordingly within the prescribed period, or restore to the original condition. b) If the application is found to be in violation of the relevant rules, the violating party shall within the prescribed period pay taxes and any other related fees and charges. If the applicants fail to amend the application within the prescribed period or restore to the original condition (situation described in “a”), or, fall into the situation described in “b”, Taiwan Stock Exchange Corporation shall notify Financial Supervisory Commission (FSC). Any subsequent asset transfer application from the applicants may be subject to FSC’s prior approval.
5.Required Documentation
Securities transfer due to merger or division of a fund or a corporation, or any changes or adjustments resulting from internal reorganization (including wholly-owned subsidiaries and branches of the corporation):
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. Proof of merger, division, or internal reorganization certified by the local authority or Board Resolution (copy must be certified by notary public or global custodian bank)
Securities transfer between FINI (Foreign Institutional Investor) and FINI or FINI and FIDI (Foreign Individual Investor), on “No Change of Final Beneficiary basis” (note transfer between FIDI and FIDI is not applicable):
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. Legal document (e.g. contract) showing the relationship between the transferor and transferee. If the transferee is not the Final Beneficiary, legal documents (e.g. contract) showing the relationship between the transferee and the Final Beneficiary and a copy of identification of the Final Beneficiary is required (copies must be certified by notary public or global custodian bank).
Securities transfer based upon trust agreement:
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. Trust Deed between the Transferor FINI and the Transferee FINI or between Transferee FINI(being new trustee) and the beneficiary and Document(s) evidencing the Transferor FINI (being the old Trustee) has been discharged from being the Trustee(copies must be certified by global custodian bank)
Securities transfer due to ETF Subscription / Redemption:
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. Redemption : the consent letter from the SFB、redemption application form / order、
Evidences/certificate, proving it has been settled.
Subscription : the consent letter from the SFB、transaction tax clearance certificate or prove、
subscription application form/order、certificate, proving it has been settled.
Securities transfer based uponCourt Orders / Rulings on “No Change of Final Beneficiary” basis:
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. Copy of the court order or judgment, and certificate issued by an attorneys-at-law or a CPA, confirming the order or the judgment is final and conclusiveand no change of final beneficiary of the concerned securities.
Securities transfer from the Master Fund of an umbrella fund to a Sub-Fund of such umbrella fundon “No Change of Final Beneficiary” basis:
1. Agreement and Registration Form of Securities Transfer; (Original Document required)
2. Detailed list of securities after actual transferred.
3. The prospectus of the equivalent umbrella fund evidencing the master/sub fund relationship of the Transferor FINI (being the Master Fund) and the Transferee FINI (being the Sub-Fund), plus a letter issued by a CPA or an attorney-in-law certifying no change of final beneficiary of the concerned securities.

Name of Transferor : ______Name of Transferee : ______

Name and Signature Name and Signature

of Authorized Signatory: ______of Authorized Signatory: ______

Job Title: ______Job Title: ______

Execution Date: ______Execution Date: ______

Notarization agent or Notarization agent or

Global custodian: ______Global custodian: ______

Name and Signature: ______Name and Signature: ______

Beneficiary Owner Signatory：______(I hereby consent to the securities transfer between the transferor and the transferee specified herewith in this document)

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