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Clearing Agency
| Document Type | Description | Due Date |
| 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. |
| SEC FORM 42 – CA | Registration Form/Amendment Form for Clearing Agencies | Within 7 days from the date of the occurrence of the event |
| *** 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. |
| SEC FORM MCG – 2009 | Certificate of Compliance with the Manual of Corporate Governance | On or before the 30th day of January of the following year |
| *** Secretary’s Certificate on the Attendance of Board of Directors | Certificate of Attendance of Directors in meetings of the Board of Directors | On or before the 30th day of January of the following year |
| *** Report on Breaches of Rules or Difficulties by the Participant | Clearing Agency’s report on Breaches of Rules or Difficulties by the Participant | Immediately after the commission of breach |
*** – Note: No Prescribed format