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MC No. 06 s.2017 – Guidelines on the Submission of the Annual Report on Segregation of Functions (Chinese Wall)

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Posted on 17 March 20174 March 2020 by Marites Diosanta Continue reading

MC No. 17 s. 2016 – Guidelines on the Applications for Payment of Annual Fees of Capital Market Participants (Institutions and Professionals)

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Posted on 21 October 20165 March 2020 by CxPqBbvt CxPqBbvt Continue reading

MC No. 9 s. 2016 – Guidelines on the Submission of Monthly Complaint Report

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Posted on 20 July 20165 March 2020 by CxPqBbvt CxPqBbvt Continue reading

MC No. 10 s.2012 – RE : Rules and Regulations on Exchange Traded Funds

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Posted on 19 October 20125 March 2020 by sec_admin Continue reading

MC No. 10 s.2010 – RE: Rules of Procedures on Appeals from Decision of Self Regulatory Organizations (SROs)

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Posted on 14 December 20105 March 2020 by sec_admin Continue reading

MC No. 1 s.2010 – RE: Adoption of the Broker-Dealer Chart of Accounts Chart Accounts for Broker Dealer in Securities Chart of Accounts for Broker Dealer in Securities Summary of Chart of Accounts

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Posted on 18 March 20105 March 2020 by sec_admin Continue reading

MC No. 3 s.2007 – RE : Amendments of Reportorial Requirements Templates : SEC Form FCIF – Special Form of Interim Financial Statements for Financing Companies (PDF) (Posted 3 Jan. 2008) SEC Form BD – 30.2 Quarterly Compliance Report (Excel)

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Posted on 5 September 20075 March 2020 by sec_admin Continue reading

MC No. 14 s.2006 – RE : Rules Governing Over The Counter (OTC) Market

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Posted on 30 November 20065 March 2020 by sec_admin Continue reading

MC No. 7 s.2006 – RE : Rules on Securities Borrowing and Lending Lecture: Regulatory Framework for Securities Borrowing and Lending in the Philippines PSE Securities Lending Seminar 2006, Philippine Stock Exchange Auditorium, Pasig City, Philippines, June 22, 2006

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Posted on 9 June 20065 March 2020 by sec_admin Continue reading

MC No. 16 s.2004 – RE : Adoption of the Risk Based Capital Adequacy Requirement/Ratio (RBCA) for Brokers Dealers

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Posted on 3 November 20045 March 2020 by sec_admin Continue reading

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PRIVACY POLICY

1. What personal information do we collect from the applicant/representative of the applicant?

We collect the following personal information:

Full name
Mobile Phone Number
Email Address

2. How do we collect the personal information?

We collect, use and process the personal information provided through electronic or automated means to proceed in this registration system.

3. Why do we need to collect the personal information?

The collected personal information will be utilized in the processing of the above mentioned applications for registration.

4. How do we keep your personal information secure?

Only authorized SEC personnel are granted access to the personal information collected through the registration system. The collected personal information via the internet or other electronic methods are stored in a secured database. We use reasonable security safeguards to protect the information gathered from any loss, unauthorized access, use or disclosure.

5. What are the rights of the data subjects?

Under the Data Privacy Act of 2012, data subject refers to an individual whose personal information is collected and processed. We are duly bound to observe and respect your privacy rights, including your right to information, right to access, right to correct, right to remove, right to damages and right to data portability.