Lending Companies - Securities and Exchange Commission

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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)	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)
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: 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
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 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
*** 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

*** Note: No prescribed format

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