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Capital Market Professionals
Forms for Capital Market Participants Registry System (CMPRS)
| Form Type | Description |
| CMPRS Form 1 | Undertaking |
| CMPRS Form 2 | Secretary`s Certificate |
| CMPRS Form 3 | User Designation Form |
| User Guide • CMPRS User Guide Cover Page • Request for An Account • Activate Approved Account • Logging In • Application for New Registration • Application for Annual Payment of Fees • Comply Deficiency • Pay Fees and Upload Payment Details • List of Authorized Landbank Branches |
Initial Application
| Form Type | Description | Law/SRC Provision |
| SEC Form 28-AP/28-AMD | Registration of Associated Person of a Broker Dealer | SRC Rule 28.1.5 |
| SEC Form 28-S/28-AMD | Registration of Salesman of a Broker Dealer | SRC Rule 28.1.5 |
| SEC Form IHU/GSED-CO-AP | Application for Registration of Associated Person/ Compliance Officer of Investment House/Underwriter of Securities and Government Securities Eligible Dealers | SEC Memorandum Circular No. 8, Series of 2004 |
| SEC Form ICA-CO | Registration of a Compliance Officer of an Investment Company Adviser/Manager | SEC Memorandum Circular No. 8, Series of 2004 |
| SEC Form ICA-CIS | Registration of a Certified Investment Solicitor of an Investment Company Adviser/Manager | Section 40 of the Investment Company Act |
Payment of Annual Fees
| Form Type | Description | Law/SRC Provision |
| SEC Form NELET-AF | Covering/Endorsement Letter | Implementing Rules and Regulations of the Securities and Regulation Code |
| SEC Form TLIST-AF-P | Tabular List of Applicants |