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Investment Company Adviser
| 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. |
| *** 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 |
| SEC FORM ICA-IA | Registration Form/Amendment Form for Investment Company Advisers | 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 ICA-CIS | Amendment / Changes in the Information contained in SEC Form ICA-CIS | Within 7 days from the date of the occurrence of the event |
| SEC FORM ICA-CO | Amendment / Changes in the Information contained in SEC Form ICA-CO | Within 7 days from the date of the occurrence of the event |
| 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