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Mutual Fund Distributor
| DOCUMENT TYPE | DESCRIPTION | DUE DATE |
| SEC FORM MFD | Registration Form/Amendment Form for Mutual Fund Distributors | Within 7 days from the date of the occurrence of the event |
| SEC FORM ICA-T | Notice for Termination of Certified Investment Solicitor or Compliance Officer of an Investment Company Adviser/Mutual Fund Distributor | Not later than five (5) business days after the discontinuation of employment |
| SEC FORM GIS | General Information Sheet | Within 30 calendar days following the date of stockholder’s meeting per by-laws. If no meeting was held on that calendar year, on or before 30th of January of the following year. |
| *** AFS | Audited Financial Statement | Please refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number. |
| GFFS | Special Form for Financial Statements | In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.) |
*** Note: No prescribed format