Lending Companies - Securities and Exchange Commission

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Lending Companies

Document Type	Description	Due Date
SEC Form GIS	General Information Sheet	Within 30 calendar days from actual annual stockholders’ meeting
*** 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
LCFS	Special Form of Financial Statements	Within 30 days after due date of submission of Audited Financial Statements
AIS	Annual Information Statement	Every 30th day of January for Commercial Paper Issuer
LCIF (LCIF_PAGES 1 TO 5) (LCIF_schedules_PAGES 6 TO 11)	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
MTTP	Money Laundering and Terrorist Financing Prevention Plan	See Attached MC No. 4 s. 2021
AML-CF AML-CF CoverSheet & General Guidelines	AMLA Compliance Form	See Attached MC No. 4 s. 2015
*** 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
SEC Form 1 SEC Form 2	SEC Form 1 – Existing Online Lending Platforms SEC Form 2 – Prospective Online Lending Platforms	MC 19 s. 2019

*** Note: No prescribed format

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