Financing Companies

Document Type Description Due Date Where to File

Impact Evaluation Report

Impact Evaluation Report under Section 4 of SEC Memorandum Circular No. 3, Series of 2022 (SEC MC 3, S. of 2022)

On 06 February 2023. All FCs and LCs, whether or not offering loans covered by the ceiling, shall submit an Impact Evaluation Report.

See Attached Notice on: SUBMISSION OF IMPACT EVALUATION REPORT

Send via email at: cgfd_flcd@sec.gov.ph

When sending it, use the following subject line: IER 2022 of (Name of Company)

SEC Form BP-FCLC

Business Plan under Section 5 of SEC Memorandum Circular No. 3, Series of 2022 (SEC MC 3, S. of 2022)

On or before 5 May 2022. For FCs and LCs that will be incorporated subsequent to 3 March 2022, the effectivity of SEC MC 3, S. of 2022, the Business Plan shall be submitted within sixty (60) days from the date of issuance of their Certificate of Authority to Operate as a Financing/Lending Company

See Attached Notice on: SUBMISSION OF BUSINESS PLAN (SEC FORM BP-FCLC)

Send via email at: ictdsubmission@sec.gov.ph copy furnished cgfd_flcd@sec.gov.ph with the following subject line:

CGFD_Complete Name of the Company_SEC Form BP-FLCD_Date Submitted

SEC Form GIS

General Information Sheet

Within 30 calendar days from actual annual stockholders’ meeting

Via OST/eFAST Only

*** AFS

Audited Financial Statements

Fiscal year ending December 31: on or before April 15. After April 15, based on advisory to be issued by SEC

Fiscal year other than December 31: within 120 days from the end of fiscal year

Via OST/eFAST Only

FCFS

Special Form of Financial Statements

Within 30 days after due date of submission of Audited Financial Statements

Via OST/eFAST Only

AIS

Annual Information Statement

Every 30th day of January for Commercial Paper Issuer

File to FLCD: Up to Php 150,000,000 ONLY
File to MSRD: Beyond Php 150,000,000

Kindly request a Payment Assessment Form (PAF) of Annual Information Statement through the google forms here.

FCIF

Semi-Annual Financial Statements

1st Semester: 15 days from cut-off (Cut off: June 30)

2nd Semester: 15 days from cut-off (Cut off: December 31)

However, starting 2nd sem 2012: due date is 45 days from end of semester

Via OST/eFAST Only

AML-CF
AML-CF CoverSheet & General Guidelines

AMLA Compliance Form

See Attached MC No. 4 s. 2021

See Attached MC No. 4 s. 2015

Send via email at ictdsubmission@sec.gov.ph using the Email Subject Line/Head:

CGFD_Complete Name of the Company_Type of Document_Date

Scanned copies of documents with physical/wet signatures

*** Sworn Certification

Sworn Certification stating the company’s compliance with the provisions of Section 4 of the SEC Memorandum Circular No. 18, series of 2019, or Section 1 or 2 of the SEC Memorandum Circular No. 2, series of 2021

MC 18 s. 2019

MC 2 s. 2021

Send via email at ictdsubmission@sec.gov.ph using the Email Subject Line/Head:

CGFD_Complete Name of the Company_Type of Document_Date

Scanned copies of documents with physical/wet signatures

SEC Form 1

SEC Form 2

SEC Form 1 – Existing Online Lending Platforms

SEC Form 2 – Prospective Online Lending Platforms

MC 19 s. 2019

Send via email at ictdsubmission@sec.gov.ph using the Email Subject Line/Head:

CGFD_Complete Name of the Company_Type of Document_Date

Scanned copies of documents with physical/wet signatures

*** MCG

Revised Manual on Corporate Governance

1. P50 million or more total assets or

2. those with more than 40% foreign participation in voting stock or

3. commercial paper Issuer, either exempt or registered

March 31, 2011 for existing companies

Or

Within 30 days from the date the company became covered

Send via email at ictdsubmission@sec.gov.ph using the Email Subject Line/Head:

CGFD_Complete Name of the Company_Type of Document_Date

Scanned copies of documents with physical/wet signatures

SEC FORM MCG – 2009

Compliance Officer’s Certificate on the extent of compliance to the Manual of Corporate Governance

On or before January 30 of the following year

Send via email at ictdsubmission@sec.gov.ph using the Email Subject Line/Head:

CGFD_Complete Name of the Company_Type of Document_Date

Scanned copies of documents with physical/wet signatures

*** Note: No prescribed format