SEC Capital Market Participants Registry System

The Securities and Exchange Commission (SEC), will be launching the Online Capital Market Participants Registry System (CMPRS) on November 21, 2017. Aside from the manual filing of applications, the Capital Market Participants can now lodge their transactions using the system (CMPRS) as an option. The system is intended for the following:

Capital Market Institutions (CMIs)
• Broker/Dealer in Securities
• Broker in Securities
• Dealer in Securities
• Brokers in Proprietary Shares
• Voice Brokers in Securities
• Investment Houses
• Investment Houses Engaged in Dealing Government Securities
• Underwriters of Securities Engaged in Dealing Government Securities
Government Securities Eligible Dealers
• Investment Company Advisers
• Mutual Fund Distributors

Capital Market Professional (CMPs)
• Associated Persons (AP)
• Compliance Officer (CO)
• Salesmen/Fixed Income Market Salesman (S/FIMS)
• Certified Investment Solicitors (CIS)

The CMPRS is a web-enabled system designed to:

• Manage online submission of applications;
• Manage online evaluation/processing of applications of Capital Market Participants;
• Automatic generation of Certificate of Registration (CR) and Confirmation of Payment (COP) of Annual Fees;
• Facilitate tagging/clearing of infractions as results of monitoring activities; and
• Real-time searching of registered Capital Market Participants.

The system is expected to lessen face-to-face transactions, thus, it helps reduce the number of clients who will come personally to the CRMD Office in response to the Commission’ initiatives of ease of doing business.