Complaints - Securities and Exchange Commission

Menu

GOVPH

Post Views: 5,484

Home
/
Foundations
/
Complaints

Complaints

A. Important Reminders

1.	IMPORTANT: Only registered Foundations may become respondent/s to your complaint with the CGFD. For complaints against individuals or companies operating as a Foundation without having previously registered with the SEC (i.e. an unregistered entity or person soliciting donations from the public allegedly for charitable use), please send your email to Enforcement and Investor Protection Department at epd@sec.gov.ph
2.	In case the allegations are about unauthorized investment or solicitation activities and/or an organization pretending to be a registered Foundation and collecting funds or donations, please also refer the concern to the SEC-Enforcement and Investor Protection Department (SEC-EIPD) at epd@sec.gov.ph.
3.	In case the allegation is about intra-corporate dispute (i.e. The dispute is between a Foundation and its members or officers involving the internal affairs of the Foundation), please seek redress with the Regional Trial Court which has jurisdiction over the principal office of the corporation, partnership, or association concerned, as per A.M. No. 01-2-04-SC.
4.	Complaints that are insufficient in form and in substance may cause the outright dismissal of your complaint. To avoid that:
		a.	Always fill out the Complaint Form completely and accurately.
		b.	Do not forget to attach all relevant documents or evidence to support your complaint.
		c.	Submit ONE complaint form per respondent company.
		d.	Provide us with a valid government issued I.D.
		e.	Do not forget to provide proof that you have exhausted all remedies against the Foundation concerned before filing your complaint with the SEC.

B. What are the issues that may be raised in your complaint:

C. What if my complaint does not involve a violation of the RCCP?

D. How do I file a complaint?

C. What if my complaint does not involve a violation of the RCCP?

E. What happens when I file a complaint?

1.	Upon receipt of the accomplished Complaint, our Department will evaluate it together with all the evidence/documents you attached to support it.
2.	A copy of your complaint will be sent to the Foundation for its answer/comment. They are given ten (10) days from receipt to give their answer/comment.
3.	Our Department will evaluate the Foundation’s answer/comment and may do either of the following:
		a.	Require you to file your Reply to the Foundation’s answer/comment
		b.	Close and terminate the complaint if, in their assessment, the issue has been resolved.
		c.	If our Department finds sufficient grounds that warrant the commencement of an administrative action against the Foundation, we will issue a Formal Charge and proceed against the Foundation in accordance with the 2016 Rules of Procedure of the Securities and Exchange Commission.

SEC BULLETIN PRIVACY POLICY

WHAT PERSONAL INFORMATION WE COLLECT
We collect only the valid email addresses of individuals or organizations interested to subscribe in the SEC Bulletin.

IP Addresses
SEC Bulletin sign up form does not collect information about your computer (or mobile device), including IP addresses, operating system and browser type.

HOW WE COLLECT
For this project, SEC collects and uses email addresses through an online subscription/sign-up form located at the upper left portion of the website. This email addresses are to be incorporated in the mailing list created for the SEC Bulletin.

WHY COLLECT
The collected email addresses will be utilized solely for the mailing list. The email addresses will serve as a means to send out the SEC Bulletin to its subscribers. The email addresses will not be shared with outside parties of the SEC.

HOW TO KEEP YOUR PERSONAL INFORMATION SECURE
Only authorized SEC personnel are granted access to the email addresses collected by SEC through SEC Bulletin sign up from. This information collected are stored in a secure database. We use reasonable security safeguards to protect the information from loss, unauthorized access, use or disclosure.

RIGHTS OF THE DATA SUBJECT
Under the Data Privacy Act of 2012, a data subject refers to an individual whose personal information is collected and processed. We are duly bound to observe and respect your privacy rights, including your right to information, right to access, right to correct, right to remove, right to damages and right to data portability.

CONSENT FORM

In accordance with the Data Privacy Act of 2012, the SEC is committed to protect and respect the personal data gathered from our clients.If you voluntarily agree to subscribe to our newsletter and receive a monthly issue of the SEC Bulletin as well as other advisories, please provide a valid email address so we can include you in our subscription list.

Rest assured that the information collected will only be used for SEC Strategic Communication purposes and will not be publicized for the privacy and safety of our subscribers.

If you agree with these terms and conditions, please sign up now! Thank you

FEEDBACK ON THE PRIVACY NOTICE

For more information, suggestion and feedback on this Privacy Notice, please send your email to our Data Protection Officer at dpo@150.150.150.155