Capital Market Institutions - Securities and Exchange Commission

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Capital Market Institutions

FOR THE YEAR 2018

FOR THE YEAR 2017

Type of License	Confirmation of Annual Fees	New Registrants
Broker/Dealer in Securities
Broker in Securities
Dealer in Securities
Brokers in Proprietary Shares
Voice Brokers in Securities
Investment Houses
Investment Houses Engaged in Dealing Government Securities
Underwriters of Securities Engaged in Dealing Government Securities
Government Securities Eligible Dealers
Investment Company Advisers
Mutual Fund Distributors

FOR THE YEAR 2016

Type of License	Confirmation of Annual Fees	New Registrants
Broker/Dealer in Securities
Broker in Securities
Dealer in Securities
Brokers in Proprietary Shares
Voice Brokers in Securities
Investment Houses
Investment Houses Engaged in Dealing Government Securities
Underwriters of Securities Engaged in Dealing Government Securities
Government Securities Eligible Dealers
Investment Company Advisers
Mutual Fund Distributors

FOR THE YEAR 2015

FOR THE YEAR 2014

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