Today is July 7, 2020

Government Securities Eligible Dealer

Document Type Description Due Date
SEC Form GIS General Information Sheet Within 30 calendar days following the date of stockholder’s meeting per by-laws. If no meeting was held on that calendar year, on or before 30th of January of the following year.
*** AFS Audited Financial Statement Please refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number.
SEC FORM MCG - 2009 Certificate of Compliance with the Manual of Corporate Governance On or before the 30th day of January of the following year
*** Secretary’s Certificate on the Attendance of Board of Directors Certificate of Attendance of Directors in meetings of the Board of Directors On or before the 30th day of January of the following year
RBCA Risk Based Capital Adequacy Report On or before 15th of the following month or not later than 3 business days after being filed with the BSP
SEC FORM 28 - BDA Change in Information Within 7 days from the date of the occurrence of the event
SEC FORM 28T Notice of Termination of Salesman and/or Associated Person Not later than five (5) business days after the discontinuation of employment
SEC FORM BD - 30.2 QCR Associated Person’s Quarterly Compliance Report On or before the 15th day of the following quarter
SEC FORM 28-S Amendment / Changes in the Information contained in SEC Form 28-S Within 7 days from the date of the occurrence of the event
SEC FORM 28-CO/AP Amendment / Changes in the Information contained in SEC Form 28-S Within 7 days from the date of the occurrence of the event
*** Report on Training Program Report on Training Program On or before the 30th day of January of the following year
GFFS Special Form for Financial Statements In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.)
*** Annual Report – Chinese Wall Rules (SRC Rule 34.11.4) Report on the measures the BD has taken to enforce the Chinese Wall Rules On or before the 15th of March of the following year
*** Complaint Report (SRC Rule 52.1.9) Written complaints received from the client and the action taken thereon by the Broker Dealer. Duplicate Copies of the complaints shall be attached to the report. Every 15th day of the month covering the period as of the end of the preceding month
*** List of Directors, Officers and Employees List of directors, officers, salesmen and employees together with their respective photos taken within six (6) months, with designations and specimen signatures Updated every three (3) years
*** Schedule of Minimum Commission Rates Minimum commission rates charged by the broker dealer Whenever there is/are changes or revision/s in the schedule of minimum rate on file with the commission
*** Report on the Hiring of Traineess Inform in writing the hiring of trainees by the broker dealer As the need arises

*** - Note: No Prescribed format

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