Today is July 7, 2020

Mutual Fund Distributor

DOCUMENT TYPE DESCRIPTION DUE DATE
SEC FORM MFD Registration Form/Amendment Form for Mutual Fund Distributors Within 7 days from the date of the occurrence of the event
SEC FORM ICA-T Notice for Termination of Certified Investment Solicitor or Compliance Officer of an Investment Company Adviser/Mutual Fund Distributor Not later than five (5) business days after the discontinuation of employment
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.
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.)

*** Note: No prescribed format

 

SEC BULLETIN PRIVACY POLICY
WHAT PERSONAL INFORMATION WE COLLECT
We collect only the valid email addresses of individuals or organizations interested to subscribe in the SEC Bulletin.
IP Addresses
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HOW WE COLLECT
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WHY COLLECT
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CONSENT FORM

In accordance with the Data Privacy Act of 2012, the SEC is committed to protect and respect the personal data gathered from our clients.If you voluntarily agree to subscribe to our newsletter and receive a monthly issue of the SEC Bulletin as well as other advisories, please provide a valid email address so we can include you in our subscription list.

Rest assured that the information collected will only be used for SEC Strategic Communication purposes and will not be publicized for the privacy and safety of our subscribers.

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FEEDBACK ON THE PRIVACY NOTICE
For more information, suggestion and feedback on this Privacy Notice, please send your email to our Data Protection Officer at dpo@sec.gov.ph