Today is June 5, 2020

Registered Entities

CAPITAL MARKET PARTICIPANTS
Notice to Capital Market Participants (Institutions and Professionals) 29 April 2015
Capital Market Institutions
Capital Market Professionals
Exchanges, SROs, Clearing Agencies, Depository as of February 2013
Transfer Agents as of 30 June 2014
Lending Agents for SBL
Registrars of Qualified Buyers as of 28 January 2015
Alternative Trading System as of 28 January 2015

FINANCING COMPANIES
Only Financing Companies with quasi-banking (QB) license are authorized to solicit investment or accept deposit from the public
Directory of Financing Companies as of 31 December 2014
Consolidation of Financial Data of Financing Companies for the period December 31, 2010

LENDING COMPANIES
Only Lending Companies with quasi-banking (QB) license are authorized to solicit investment or accept deposit from the public
Directory of Lending Companiesas of 31 December 2014

ISSUERS
Issuers of Registered Equity Securities (Unlisted) as of 15 July 2015
Issuers of Proprietary/Non-Proprietary Shares/Certificates as of 15 July 2015
Issuers of Registered Debt Securities (Commercial Papers/Bonds) as of 20 October 2015
Issuers of Registered Securities to the Public (Listed with the Exchange) as of 20 October 2015
Issuers of Registered Equity Securities (Delisted) as of 20 October 2015
Notice:
The inclusion of any company in this SEC List does not mean, suggest, or imply, whether directly or indirectly, that any or all of those listed herein is being endorsed by the SEC to solicit, take, receive, or hold investments from the public.

The decision of anyone to place one’s investment(s) on any company in whatever form is an individual decision based on one’s own judgement.

It is suggested that anyone interested to invest in any of the companies listed herein or in any other company should study all publicly available materials that have been issued by the company following the full disclosure principle.

PUBLIC COMPANIES
Public Companies as of 15 July 2015

Notice:
The inclusion of any company in this SEC List does not mean, suggest, or imply, whether directly or indirectly, that any or all of those listed herein is being endorsed by the SEC to solicit, take, receive, or hold investments from the public.

The decision of anyone to place one’s investment(s) on any company in whatever form is an individual decision based on one’s own judgement

It is suggested that anyone interested to invest in any of the companies listed herein or in any other company should study all publicly available materials that have been issued by the company following the full disclosure principle.

MUTUAL FUNDS COMPANIES
Mutual Funds Companies as of 2 July 2015

Notice:
The inclusion of any company in this SEC List does not mean, suggest, or imply, whether directly or indirectly, that any or all of those listed herein is being endorsed by the SEC to solicit, take, receive, or hold investments from the public.

The decision of anyone to place one’s investment(s) on any company in whatever form is an individual decision based on one’s own judgement

It is suggested that anyone interested to invest in any of the companies listed herein or in any other company should study all publicly available materials that have been issued by the company following the full disclosure principle.

REGISTERED SPECIAL PURPOSE VEHICLES

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.

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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@sec.gov.ph