Complaints - Securities and Exchange Commission

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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.

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