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Request for Other Certifications

Type:
A. A company is registered with the Commission
B. An individual is a holder of a secondary license/s such as Compliance Officer, Associated Person, Salesman, Fixed Income Market Salesman and Certified Investment Solicitor
C. A company is authorized or permitted to sell securities registered with the Commission
Procedures:
1. The requesting party shall prepare a letter addressed to the appropriate Head of the Operating Department requesting for a Certification with attached supporting documents, if necessary.
2. The Executive Assistant/Clerical Staff of the Department, will prepare the Payment Assessment Form (PAF) and advise the requesting party to pay the corresponding Fee to the cashier.
3. The requesting party shall return the proof of payment as well as the letter-request to the Executive Assistant/Clerical Support.
4. The Executive Assistant of the Department shall forward the said request form and other attachments directly to the handling lawyer for processing of the Certification.
5. Prior to the issuance of a Certification, if deemed appropriate, the handling lawyer, will prepare a Memo to other Department/s concerned requesting its input subject of the request.
6. Upon receipt of the Memo from the other Department containing its input subject of the request, the handling lawyer will proceed with the preparation of a Certification and seek approval/signature of the Director to the Certification.
7. The Executive Assistant shall release the Certification to the requesting party.