Today is September 21, 2017

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 - 2002 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