Today is July 7, 2020

Investment Houses / Underwriters of Securities

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 IH-14 QPR Quarterly Progress Report Within 45 days from the end of each quarter
SEC FORM IH-14 AR Annual Report On or before March 31 of the following year
SEC FORM IHU-IA Report on any change/s in the information contained in the SEC Form IHU-IA Within 7 days from the date of the occurrence of the event
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-T 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 Not later than 15 days after the end of each 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-IHU-GSED-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
IHFS 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 Whenever there is/are changes or revision/s in the schedule of minimum rate on file with the commission
*** 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 Trainees Inform in writing the hiring of trainees by the broker dealer As the need arises

*** - Note: No prescribed format
 

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