Lending 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)

Deadline on 31 March 2023.

See Attached Notice on: SUBMISSION OF IMPACT EVALUATION REPORT 2023 (IER 2023)

Send to the given google form link as instructed in the Notice.

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: [email protected] copy furnished [email protected] 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

LCFS

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.

LCIF

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 [email protected] 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

Via eFAST Only

SEC Form 1

SEC Form 2

SEC Form 1 – Existing Online Lending Platforms

SEC Form 2 – Prospective Online Lending Platforms

MC 19 s. 2019

Via eFAST Only

List of Third-Party Service Providers (TPSPs)

Submission of List of Third-Party Service Providers in compliance with the Financial Products and Service Products and Services Consumer Protection Act Of 2022 (R.A. No. 11765) And its Implementing Rules And Regulations (SEC FCPA IRR)

Deadline on 13 June 2023.

See Attached Order HERE

Send thru:

SUBMISSION OF LIST OF THIRD-PARTY SERVICE PROVIDERS IN COMPLIANCE WITH THE SEC FCPA IRR (R.A. NO. 11765)

Registration of Financing and Lending Companies to the Credit Information Corporation (CIC) and submission of related documents

All FCs and LCs that are operating OLPs/OLAs are ordered to register with the CIC.

Deadline on 07 August 2023.

See Attached Order HERE

Send proof of registration to:

[email protected]

Complaints Handling Details

Submission of Financing and Lending Companies Complaints Handling Details and Mechanism

Deadline on 22 February 2024.

See Attached Order HERE

Send to the google link as indicated in the order.

*** Note: No prescribed format