Notices-2021 Archives - Securities and Exchange Commission

FREQUENTLY ASKED QUESTIONS (FAQs) ON BENEFICIAL OWNERSHIP

[page_title]

SEC CONTACT CENTER

SEC CEBU EXTENSION OFFICE (SEC-CEO) HAS RESUMED OPERATIONS SINCE MONDAY, DECEMBER 20 BUT WITH LIMITED TRANSACTIONS

[page_title]

SURVEY ON TARGETED FINANCIAL SANCTIONS

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SYSTEM MAINTENANCE OF THE SEC ESPARC

[page_title]

EXTENSION OF ENROLLMENT ON THE ONLINE SUBMISSION TOOL (OST)

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE DISQUALIFICATIONS OF DIRECTORS, TRUSTEES AND OFFICERS OF CORPORATIONS; AND THE GUIDELINES ON THE PROCEDURE FOR THEIR REMOVAL

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON DECEMBER 16 UNTIL FURTHER NOTICE

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC DAVAO EXTENSION OFFICE WILL BE CLOSED ON DECEMBER 16 AND 17, 2021

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

ADDENDUM TO MNRC M.C. NO. 2, SERIES OF 2021 PUBLISHED ON 09 DECEMBER 2021

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SCHEDULE FOR APPLICATION OF MNRC RE-ACCREDITATION, ONLINE SUBMISSION OF SWORN APPLICATION FORM, COMPLIANCE WITH MNRC MEMORANDUM CIRCULAR NO. 2, SERIES OF 2020

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC TARLAC EXTENSION OFFICE WILL BE CLOSED ON DECEMBER 10, 2021

[page_title]

SEC TARLAC EXTENSION OFFICE CONTACT INFORMATION

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

CYBERSECURITY NOTICE TO ALL CORPORATIONS UNDER THE SUPERVISION OF THE SECURITIES AND EXCHANGE COMMISSION

[page_title]

SEC MAIN OFFICE CLOSED ON 30 NOVEMBER 2021 AND 2 DECEMBER 2021

[page_title]

PHILIFINTECH INNOVATION OFFICE’S PRESENT ME ANYTHING SESSION

[page_title]

REQUEST FOR COMMENTS ON GUIDELINES ON THE REGISTRATION AND LICENSING OF ONLINE LENDING PLATFORMS

[page_title]

SEC CEBU EXTENSION OFFICE NOTICE ON APPLICATION FOR AN INCREASE IN AUTHORIZED CAPITAL STOCK

[page_title]

EXTENSION ON SUBMISSION OF FORMS/NOTICES PURSUANT TO MEMORANDUM CIRCULAR NO. 28, SERIES OF 2020

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE MNRC MEMORANDUM CIRCULAR ON THE GUIDELINES FOR ACCREDITATION OF MICROFINANCE NGOS FOR THE PERIOD 2022 TO 2025

[page_title]

SEC BACOLOD EXTENSION OFFICE WILL BE CLOSED ON NOVEMBER 5, 2021

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

RESUMPTION OF SEC CERTIFICATION EXAMINATIONS

[page_title]

GUIDELINES ON THE HEALTH AND SAFETY PROTOCOLS TO BE OBSERVED IN THE CONDUCT OF THE SEC CERTIFICATION EXAMINATIONS DURING THE COVID-19 PANDEMIC

[page_title]

SYSTEM MAINTENANCE OF THE SEC ESPARC AND THE ESPAYSEC

[page_title]

SEC CEBU SATELLITE OFFICE IN ROBINSONS GALLERIA NEW CONTACT INFORMATION

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC ZAMBOANGA EXTENSION OFFICE NEW CONTACT INFORMATION

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC ESPARC TEMPORARILY UNAVAILABLE

[page_title]

EXTENSION OF THE SUBMISSION DEADLINE OF THE ANTI-MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM INHERENT RISK ASSESSMENT DATA FORM

[page_title]

ALL COVERED FINANCING AND LENDING COMPANIES ARE INVITED TO A CONSULTATION MEETING

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SEC ZAMBOANGA EXTENSION OFFICE WILL BE CLOSED ON OCTOBER 12, 2021

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

NON-AVAILABILITY OF OVER-THE-COUNTER PAYMENTS & ONESEC APPLICATIONS WITH SEC BACOLOD

[page_title]

ANTI-MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM (AML/CFT) INHERENT RISK ASSESSMENT DATA FORM (AIRDF)

[page_title]

JOIN THE SEC’S WEBINAR ON BENEFICIAL OWNERSHIP

[page_title]

SEC – CEBU EXTENSION OFFICE WILL BE SUSPENDING ITS WORK FROM 3:30 P.M. ONWARDS ON MONDAY, 27 SEPTEMBER 2021

[page_title]

SEC CEBU SATELLITE OFFICE IN ROBINSONS GALLERIA IS CURRENTLY OUT OF SERVICE

[page_title]

SEC CEBU EXTENSION OFFICE WILL RESUME ITS REGULAR OPERATIONS IN ACCEPTING WALK-IN CLIENTS

[page_title]

NOTICE TO ALL CORPORATE SECRETARIES, DIRECTORS/TRUSTEES AND OFFICERS OF SEC REGISTERED CORPORATIONS

[page_title]

CANCELLATION OF SEC CERTIFICATION EXAMINATIONS STARTING 16 SEPTEMBER 2021

[page_title]

TRANSITION OF APPLICATIONS FOR REGISTRATION OF PARTNERSHIPS AND LICENSING OF FOREIGN CORPORATIONS FROM CRS TO SEC ESPARC

[page_title]

SYSTEM MAINTENANCE OF THE SEC PAYMENT PORTAL

[page_title]

SEC BAGUIO EXTENSION OFFICE WILL BE CLOSED ON 13 SEPTEMBER 2021

[page_title]

SYSTEM MAINTENANCE OF THE SEC ESPARC

[page_title]

SURVEY ON TARGETED FINANCIAL SANCTIONS

[page_title]

ANTI-MONEY LAUNDERING COUNCIL (AMLC) 2021 SANCTIONS GUIDELINES: TARGETED FINANCIAL SANCTIONS RELATED TO TERRORISM, TERRORISM FINANCING AND PROLIFERATION FINANCING

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON SEPTEMBER 9, 2021

[page_title]

LEGAZPI EXTENSION OFFICE NEW EMAIL ADDRESS

[page_title]

RESUMPTION OF SEC CERTIFICATION EXAMINATIONS

[page_title]

GUIDELINES ON THE HEALTH AND SAFETY PROTOCOLS TO BE OBSERVED IN THE CONDUCT OF THE SEC CERTIFICATION EXAMINATIONS DURING THE COVID-19 PANDEMIC

[page_title]

MNRC NOTICE ON RE-ACCREDITATION, MC 2 S. 2020, AND MC 1 S. 2021

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE REVISED MNRC FINANCIAL PERFORMANCE REPORT CARD TEMPLATE

[page_title]

SEC LEGAZPI EXTENSION OFFICE WILL BE CLOSED ON 02 SEPTEMBER 2021

[page_title]

CANCELLATION OF SEC CERTIFICATION EXAMINATIONS SCHEDULED WITHIN THE MODIFIED ENHANCED COMMUNITY QUARANTINE PERIOD

[page_title]

SEC BAGUIO EXTENSION OFFICE WILL BE CLOSED ON 01 SEPTEMBER 2021

[page_title]

SCHEDULED SYSTEM MAINTENANCE OF THE SEC WEBSITE

INVESTOR EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

SCHEDULED SYSTEM MAINTENANCE OF THE SEC PAYMENT PORTAL

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE REVISED MNRC GOVERNANCE PERFORMANCE REPORT CARD TEMPLATE

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE REVISED MNRC SOCIAL PERFORMANCE REPORT CARD TEMPLATE

[page_title]

COMPANY REGISTRATION SYSTEM (CRS) IS TEMPORARILY NOT AVAILABLE

[page_title]

CANCELLATION OF SEC CERTIFICATION EXAMINATIONS SCHEDULED WITHIN THE MODIFIED ENHANCED COMMUNITY QUARANTINE PERIOD

[page_title]

SEC DAVAO EXTENSION OFFICE WILL BE CLOSED ON AUGUST 20, 2021

[page_title]

NO MANDATORY GRACE PERIOD FOR PAYMENT OF LOANS DURING THE ENHANCED COMMUNITY QUARANTINE (ECQ) PERIOD FROM 6 AUGUST TO 20 AUGUST 2021

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE IMPLEMENTING SKELETON WORKFORCE STARTING AUGUST 05

[page_title]

CAPITAL MARKET OPERATIONS UNDER THE ENHANCED COMMUNITY QUARANTINE

[page_title]

REQUIREMENTS FOR PARTICIPATION IN THE GS REPO MARKET

[page_title]

CANCELLATION OF SEC CERTIFICATION EXAMINATIONS SCHEDULED WITHIN THE ENHANCED COMMUNITY QUARANTINE PERIOD (06 AUGUST 2021 TO 20 AUGUST 2021)

[page_title]

SEC – CEBU EXTENSION OFFICE WILL BE OPEN FROM 9 A.M. TO 3 P.M. ONLY STARTING AUGUST 1 UNTIL AUGUST 15

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON AUGUST 6, 2021

[page_title]

ANTI-MONEY LAUNDERING COUNCIL’S GUIDANCE FOR DELISTING AND UNFREEZING PROCEDURES

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

EXTENSION ON SUBMISSION OF FORMS/NOTICES PURSUANT TO MEMORANDUM CIRCULAR NO. 28, SERIES OF 2020

[page_title]

SEC BAGUIO EXTENSION OFFICE WILL BE CLOSED ON JULY 15, 2021

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE ON A SKELETON WORKFORCE FROM JULY 15-16

[page_title]

DRAFT MEMORANDUM CIRCULAR ON ANNUAL CORPORATE GOVERNANCE REPORT FOR PUBLIC COMPANIES AND REGISTERED ISSUERS

[page_title]

DRAFT MEMORANDUM CIRCULAR ON GUIDELINES ON ARBITRATION OF INTRA-CORPORATE DISPUTES FOR CORPORATIONS

[page_title]

COMPLIANCE WITH SEC MEMORANDUM CIRCULAR NO. 19, SERIES OF 2019

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE ON A SKELETON WORKFORCE FROM JUNE 24-25

[page_title]

SEC CERTIFICATION WEBINAR SCHEDULE AND APPLICATION PROCEDURE

[page_title]

INVITATION TO PARTICIPATE IN MARKET SURVEY FOR THE INTEGRATED COMPLIANCE MONITORING, ENFORCEMENT, AND EVALUATION SYSTEM

[page_title]

SUBMISSION OF MONEY LAUNDERING AND TERRORIST FINANCING PREVENTION PROGRAM (MTPP)

[page_title]

SEC ZAMBOANGA EXTENSION OFFICE WILL BE CLOSED ON JUNE 8-10, 2021

[page_title]

SEC BAGUIO EXTENSION OFFICE WILL BE CLOSED ON JUNE 7 – 8, 2021

[page_title]

REGISTRATION WITH THE ANTI-MONEY LAUNDERING COUNCIL (AMLC) AND SUBMISSION OF PROOF OF REGISTRATION

[page_title]

REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE MEMORANDUM CIRCULAR ON THE RULES ON AUTHORISATION OF AN INVESTMENT COMPANY AS A QUALIFYING CIS AND RECOGNITION OF FOREIGN COLLECTIVE INVESTMENT SCHEME UNDER THE ASEAN CIS FRAMEWORK

[page_title]

EXTENSION OF DEADLINE TO FILE MANDATORY DECLARATIONS UNDER SECTIONS 6 AND 7 OF MC NO. 01, SERIES OF 2021 OR “THE BENEFICIAL OWNERSHIP TRANSPARENCY GUIDELINES” TO 31 JULY 2021

[page_title]

SEC BAGUIO EXTENSION OFFICE NEW CONTACT INFORMATION

[page_title]

EXTENDED DEADLINE FOR INTEGRATED ANNUAL CORPORATE GOVERNANCE REPORT (I-ACGR)

[page_title]

SEC TARLAC EXTENSION OFFICE WILL BE CLOSED ON MAY 28, 2021

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

3G AWARDS

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted: Online Awards Ceremony (OAC) of 6th Global Good Governance Awards YouTube Link (1): https://youtu.be/imqs-QHhIUU YouTube Link (2): https://youtu.be/tJ-k3TC_IRM Facebook Link (1): https://www.facebook.com/3GAwards/posts/326053852224347 Facebook Link (2): https://www.facebook.com/cambridgeifa/posts/2972890739612755 Date: May continue reading : 3G AWARDS

EXTENSION OF THE DEADLINE FOR THE SUBMISSION OF ANNUAL REPORTS FOR THE CALENDAR YEAR ENDED DECEMBER 31, 2020 and QUARTERLY REPORT AS OF MARCH 31, 2021

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

EXTENSION ON SUBMISSION OF FORMS/NOTICES PURSUANT TO MEMORANDUM CIRCULAR NO. 28, SERIES OF 2020

[page_title]

SEC LEGAZPI EXTENSION OFFICE WILL OPERATE WITH MINIMAL SKELETON WORKFORCE ON SITE EFFECTIVE MAY 17-21, 2021

[page_title]

REVISED GUIDELINES ON THE SUBMISSION OF DOCUMENTS, ISSUANCE OF PAYMENT ASSESSMENT FORM, OTHER REQUESTS AND COMPLIANCE

[page_title]

SEC DAVAO EXTENSION OFFICE WILL BE CLOSED ON MAY 14, 2021

[page_title]

SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON MAY 13, 2021

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

ANTI-MONEY LAUNDERING AND COUNTERING FINANCING OF TERRORISM SECTORAL RISK ASSESSMENT 2021 OF THE SECURITIES SECTOR

INVESTOR’S EDUCATION AND INFORMATION Menu Advisories Notices COVID-19 Related Issuances SEConomics NewSECletter Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Request for Comments Date Posted:

DRAFT REVISED RULES AND REGULATIONS ON THE IMPLEMENTATION OF THE SEC OVERSIGHT ASSURANCE REVIEW (SOAR) INSPECTION PROGRAM

[page_title]