Today is September 16, 2019

Investment Houses

REGISTRATION REQUIREMENTS

INVESTMENT HOUSES/UNDERWRITERS OF SECURITIES

Renewal Registration

The following are the list of requirements to be submitted for renewal registration (for CY 2002):

  1. Continuing authorization for the Commission’s duly authorized representative to verify the applicant’s bank accounts. (General Format)
  2. List of current Directors and Officers
  3. Written supervision and control procedures patterned after the Model Internal Supervision Control and Compliance Procedures prescribed by the Commission. (if necessary)
  4. Latest Audited Financial Statements and latest Interim Financial Statements.