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Financing Companies
Document Type | Description | Due Date | Where to File |
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) |
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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 |
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General Information Sheet |
Within 30 calendar days from actual annual stockholders’ meeting |
Via OST/eFAST Only |
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*** 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 |
Special Form of Financial Statements |
Within 30 days after due date of submission of Audited Financial Statements |
Via OST/eFAST Only |
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Annual Information Statement |
Every 30th day of January for Commercial Paper Issuer File to FLCD: Up to Php 150,000,000 ONLY |
Kindly request a Payment Assessment Form (PAF) of Annual Information Statement through the google forms here. |
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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 |
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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 |
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*** 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 |
Via eFAST Only |
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SEC Form 1 – Existing Online Lending Platforms SEC Form 2 – Prospective Online Lending Platforms |
Via eFAST Only |
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*** 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 |
Compliance Officer’s Certificate on the extent of compliance to the Manual of Corporate Governance |
On or before January 30 of the following year |
Via eFAST Only |
*** Note: No prescribed format