Investment Company Adviser

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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