Notices-2020 Archives - Securities and Exchange Commission

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SUBMISSION OF FORMS/NOTICES PURSUANT TO MEMORANDUM CIRCULAR NO. 28, SERIES OF 2020

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SEC COMPANY REGISTRATION SYSTEM (CRS) WILL NOT BE AVAILABLE

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SEC PAYMENT FACILITIES

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SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON DECEMBER 17, 2020

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Request for Comments on “GUIDANCE FOR REGULATED ENTITIES ON ESTABLISHING AND MAINTAINING A CYBERSECURITY FRAMEWORK.”

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NOMINATION OF A PRIVATE SECTOR REPRESENTATIVE TO THE MNRC FOR YEARS 2021 TO 2023

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REQUEST FOR COMMENTS ON GUIDELINES FOR THE PROMOTION OF TRANSPARENCY OF BENEFICIAL OWNERSHIP OF CORPORATIONS TO PREVENT THEIR MISUSE FOR ILLICIT ACTIVITIES

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PRE-BID CONFERENCE FOR COURIER SERVICES FOR SEC HEAD OFFICE WILL BE MOVED TO DECEMBER 9, 2020, 10:00 AM

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SEC CEBU EXTENSION OFFICE WILL BE CLOSED ON FRIDAY, DECEMBER 4, 2020 (FRIDAY)

SEC Head Office is closed on December 02, 2020 (Wednesday)

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SEC CEBU EXTENSION OFFICE WILL BE CLOSED TOMORROW, FRIDAY, NOVEMBER 20, 2020

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AMLC-FINTELEKT AML/CFT ANNUAL SUMMIT (PHILIPPINES) 2020

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NOTICE TO ALL PARTICIPANTS OF THE 7th SEC-PSE CORPORATE GOVERNANCE FORUM

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AML/CFT RISK ASSESSMENT OF THE NON-PROFIT ORGANIZATION SECTOR

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POSTPONEMENT OF SEC ANNIVERSARY AND RECOGNITION CEREMONY

ADVISORY TO ALL PARTICIPANTS OF THE 7TH SEC-PSE CORPORATE GOVERNANCE FORUM

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Interim Registration System will not be available for scheduled system maintenance

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AML/CFT RISK ASSESSMENT OF THE LENDING AND FINANCING SECTOR

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WEBINAR FOR BENEFICIAL OWNERSHIP AND THE REQUIREMENT TO DISCLOSE BENEFICIAL OWNERSHIP INFORMATION IN THE GENERAL INFORMATION SHEET

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ONLINE AND MANUAL SUBMISSION OF FORMS/NOTICES PURSUANT TO MEMORANDUM CIRCULAR (MC) NO. 28, SERIES OF 2020

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OPENING OF RECEIVING AREA FOR FILING OF AUDITED FINANCIAL STATEMENTS (AFS) AND GENERAL INFORMATION SHEET (GIS) AT THE SEC ORTIGAS OFFICE THROUGH AN APPOINTMENT SYSTEM

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SEC WILL BE CONDUCTING WEBINARS FOR OFFICERS AND DIRECTORS OF SEC COVERED PERSONS AS PART OF ITS OUTREACH PROGRAM

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NOTICE TO ALL COVERED PERSONS IN THE SECURITIES INDUSTRY

INVESTOR EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Sustainable Finance Market Update Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Request for Comments Date Posted:

Interim Registration System is currently not available

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7th SEC-PSE CORPORATE GOVERNANCE FORUM

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REQUEST FOR COMMENTS ON THE EXPOSURE DRAFT OF THE MNRC MEMORANDUM CIRCULAR ON THE ANNUAL SUBMISSION OF REPORTS BY ACCREDITED MICROFINANCE NGOS

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INVITATION TO SUBMIT LEASE PROPOSAL (REPOSTING) – LEASE OF SOUTH SIDE WALL OF THE SEC BUILDING

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IMPLEMENTATION OF MANDATORY GRACE PERIOD FOR ALL LOANS PURSUANT TO THE BAYANIHAN TO RECOVER AS ONE ACT

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SEC CERTIFICATION EXAMINATION SCHEDULE FOR THE 4th QUARTER OF 2020

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SEC COMPANY REGISTRATION SYSTEM (CRS) IS TEMPORARILY NOT AVAILABLE

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CANCELLATION OF BIDDING FOR PROCUREMENT OF THE PRINTING OF 6,383 SETS OF SEC DESK CALENDAR 2021, SIZE: 7”X 5

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SEC CERTIFICATION EXAMINATIONS GUIDELINES

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WORK SUSPENSION AT THE SEC TARLAC EXTENSION OFFICE EVERY FRIDAY, STARTING 28 AUGUST 2020

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NOTICE OF CANCELLATION OF BIDDING FOR THE SUPPLY AND DELIVERY OF 9 UNITS OF COLORED PRINTER MACHINE WITH THREE (3) SET OF TONER CARTRIDGES PER PRINTER

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EXTENSION OF DEADLINES AND INTERIM PROCEDURES FOR THE SUBMISSION OF PRINTED/ HARD COPIES OF ANNUAL REPORTS

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SEC-TARLAC EXTENSION OFFICE SHALL FOLLOW NEW OPERATING HOURS FROM 8AM TO 4PM

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REQUEST FOR SECOND ROUND OF COMMENTS ON THE PROPOSED SEC RULES ON THE NUMBER OF INDEPENDENT DIRECTORS AND SECTORAL REPRESENTATIVES OF EXCHANGES AND OTHER ORGANIZED MARKETS

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OPERATION IN AREAS UNDER COMMUNITY QUARANTINE

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CAPITAL MARKET OPERATIONS AND USE OF RAPIDPASS UNDER THE MODIFIED ENHANCED COMMUNITY QUARANTINE

SEC PAYMENT FACILITIES

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SEC MAIN OFFICE LIMITED OPERATIONS DURING MECQ

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ADJUSTED FILING PROCEDURES AND PROCESSING TIMES FOR ANNUAL REPORTS AND REQUESTS FOR DOCUMENTS DURING THE SEC MAIN OFFICE’S TEMPORARY CLOSURE

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IT HAS COME TO THE ATTENTION OF SEC THAT CERTAIN FACEBOOK ACCOUNTS HAVE BEEN POSTING FALSE AND MISLEADING INFORMATION TO THE EFFECT THAT SEC ADVISED BORROWERS OF A CERTAIN LENDING COMPANY TO STOP PAYMENTS ON LOANS UNTIL AN ALLEGED INVESTIGATION INTO THE PRACTICES OF THE COMPANY IS COMPLETE

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SUBMISSION OF THE PRINTED MANDATORY DISCLOSURE FORM (MDF)

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REQUEST FOR COMMENTS ON THE DRAFT MEMORANDUM CIRCULAR ON THE AMENDMENTS TO THE IMPLEMENTING RULES AND REGULATIONS OF THE INVESTMENT COMPANY ACT, AS AMENDED

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FURTHER EXTENSION OF THE DEADLINE FOR THE SUBMISSION OF THE INTEGRATED ANNUAL CORPORATE GOVERNANCE REPORT (I-ACGR)

OUTREACH PROGRAM TO ENHANCE AWARENESS AND UNDERSTANDING OF ANTI-MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM

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NOTICE TO INVESTMENT COMPANIES, REGISTERED ISSUERS OF PROPRIETARY AND NON-PROPRIETARY SHARES/TIMESHARES, PUBLIC COMPANIES, FINANCING COMPANIES, LENDING COMPANIES, FOUNDATIONS, ACCREDITED MICROFINANCE NGOs, CORPORATE GOVERNANCE INSTITUTIONAL TRAINING PROVIDERS AND PUBLICLY-LISTED COMPANIES UNDER THE SUPERVISION OF THE CORPORATE GOVERNANCE AND FINANCE DEPARTMENT (CGFD)

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SEC CEBU EXTENSION OFFICE RESUMES OPERATIONS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Request for Comments Date Posted:

NEW DEADLINE FOR THE ONLINE FILING OR SUBMISSION OF THE MANDATORY DISCLOSURE FORM (MDF)

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FILING OF ANNUAL REPORTS DURING THE TEMPORARY CLOSURE OF THE SEC MAIN OFFICE UNTIL 26 JULY 2020

REQUEST FOR COMMENTS ON DRAFT MEMORANDUM CIRCULAR ON SIGNATORIES AND PENALTY FOR NON-COMPLIANCE WITH THE REQUIREMENT OF MANUAL ON CORPORATE GOVERNANCE

REQUEST FOR COMMENTS ON DRAFTS FOR RULES ON CORPORATE DEBT FUND

BID SUBMISSION AND OPENING OF BIDS IS RESCHEDULED

WORK SUSPENSION AT THE SEC MAIN OFFICE FROM 9 TO 10 JULY 2020

FILING FOR RENEWAL OF LICENSE FOR TRANSFER AGENTS IS EXTENDED UNTIL FRIDAY, JULY 10, 2020.

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

SEC TARLAC EXTENSION OFFICE RESUMES OPERATIONS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

BID SUBMISSION AND OPENING OF BIDS IS RESCHEDULED

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

WORK SUSPENSION AT SEC MAIN OFFICE ON MONDAY, 6 JULY 2020

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

FILING OF 17-A AND/OR 17-Q REPORTS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

OGC INFORMS THE PUBLIC THAT EFFECTIVE 06 JULY 2020, THE REGLEMENTARY PERIODS IN THE FILING OF PETITIONS, APPEALS, MOTIONS, AND OTHER PLEADINGS UNDER THE 2016 RULES OF PROCEDURE OF THE SEC SHALL START TO RUN

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

INTERIM GUIDELINES FOR THE LIMITED MANUAL OPERATIONS OF OFFICE OF THE GENERAL COUNSEL DURING THE PERIOD OF STATE OF NATIONAL EMERGENCY DUE TO COVID-19 PANDEMIC, AS AMENDED

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

EXTENSION OF THE COMMENT PERIOD FOR THE PROPOSED SEC RULES ON THE NUMBER OF INDEPENDENT DIRECTORS OF EXCHANGES AND OTHER ORGANIZED MARKETS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

REQUEST FOR COMMENTS ON PROPOSED RULES ON SIMPLIFIED ONBOARDING PROCEDURES FOR LOW RISK ACCOUNTS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

CGFD OFFICE CLOSURE FROM 1 TO 3 JULY 2020 AND FULL IMPLEMENTATION OF WORK-FROM-HOME ARRANGEMENT WITHIN SUCH PERIOD

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

TEMPORARY CLOSURE OF SEC BAGUIO EXTENSION OFFICE FROM 30 JUNE TO 3 JULY 2020

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

TEMPORARY CLOSURE OF SEC – CEBU EXTENSION OFFICE STARTING 29 JULY 2020 AND UNTIL THE END OF ECQ IN CEBU CITY

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

FILING OF REPORTS AND OTHER DOCUMENTS IN THE SECURITIES AND EXCHANGE COMMISSION (SEC) MAIN OFFICE DURING TEMPORARY CLOSURE

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

REQUESTS FOR (1) STATISTICS, REPORTS AND DATA; (2) TOP 1000 CORPORATIONS PUBLICATION; AND, (3) CERTIFICATE OF COMPANY RANK IN THE TOP 1000 CORPORATIONS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters As of:

WORK SUSPENSION IN THE SEC MAIN OFFICE FROM 26 TO 30 JUNE 2020

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

CORPORATE GOVERNANCE AND RISK MANAGEMENT BODIES OF KNOWLEDGE FOR THE SEC CERTIFICATION EXAMINATION PHASE 1

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

OPTIONS FOR THE SUBMISSION OF REPORTS, APPLICATIONS AND OTHER DOCUMENTS DURING THE EFFECTIVITY OF ALL COMMUNITY QUARANTINE IMPOSED DUE TO COVID-19

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REQUEST FOR COMMENTS ON THE PROPOSED SEC RULES ON THE NUMBER OF INDEPENDENT DIRECTORS OF EXCHANGES AND OTHER ORGANIZED MARKETS

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

DRAFT GUIDELINES IN CONDUCTING INVESTIGATIONS OF VIOLATIONS OF THE RIGHT TO INSPECT AND/ OR REPRODUCE CORPORATE RECORDS

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PROPOSED REQUIREMENT FOR CORPORATIONS, PARTNERSHIPS, ASSOCIATIONS AND INDIVIDUALS TO CREATE AND/OR DESIGNATE E-MAIL ACCOUNT ADDRESS AND CELLPHONE NUMBER FOR TRANSACTIONS WITH THE COMMISSION

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PROPOSED GUIDELINES FOR THE CONVERSION OF CORPORATIONS EITHER TO ONE PERSON CORPORATION OR TO ORDINARY STOCK CORPORATION

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CESSATION OF THE PROVISION OF THE MANDATORY GRACE PERIOD DURING GENERAL COMMUNITY QUARANTINE (GCQ) AND MODIFIED GENERAL COMMUNITY QUARANTINE (MGCQ) IN THE MAJORITY OF THE PROVINCES AND CITIES IN THE PHILIPPINES

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ADOPTION OF OTHER DEBT RELIEF MEASURES

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CYBERSECURITY NOTICE

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ONLINE WORKSHOP ON SUSTAINABILITY REPORTING

INVESTOR’S EDUCATION AND INFORMATION Advisories Notices COVID-19 Related Issuances Daily Market Updates Financial Stability Investment Scam Checklist Investment 101 Pre-need Matters Date Posted:

GUIDELINES IN THE FILING OR SUBMISSION OF THE MANDATORY DISCLOSURE FORM (MDF)

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SEC CERTIFICATION EXAMINATIONS SCHEDULE AT THE MAIN OFFICE AND APPLICATION PROCEDURE

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ONLINE APPLICATIONS FOR THE COMPANY REGISTRATION AND MONITORING DEPARTMENT (CRMD)

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NEW DEADLINE FOR SUBMISSION OF THE MANDATORY DISCLOSURE FORM (MDF)

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CESSATION OF THE PROVISION OF THE MANDATORY GRACE PERIOD DURING THE GENERAL COMMUNITY QUARANTINE (GCQ) AND MODIFIED GENERAL COMMUNITY QUARANTINE (MGCQ) PERIOD

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SUSPENSION OF WORK AT THE SECURITIES AND EXCHANGE COMMISSION (SEC) MAIN OFFICE IN THE PHILIPPINE INTERNATIONAL CONVENTION CENTER (PICC) ON FRIDAY AND SATURDAY, 29-30 MAY 2020, TO FACILITATE DISINFECTION OF THE PREMISES

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PLEASE BE ADVISED THAT FOR MAY 26-29, 2020 THE OFFICE OF THE GENERAL ACCOUNTANT (OGA) IS STILL UNDER WORK-FROM-HOME SET-UP

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ONLINE SUBMISSION OF REQUIREMENTS ON THE AMENDMENT, CONVERSION AND/OR WITHDRAWAL OF LICENSE AND SUBSTITUTION OF RESIDENT AGENT OF FOREIGN CORPORATIONS

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RESUMPTION OF MANUAL FUNCTIONS OF THE COMPANY REGISTRATION AND MONITORING DEPARTMENT (CRMD)

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NOTICE IN THE OPENING OF THE SEC EXPRESS SYSTEM AND THE SEC EXPRESS NATIONWIDE SUBMISSION (SENS)

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COMPLIANCE WITH SECTION 4(AA) OF THE BAYANIHAN TO HEAL AS ONE ACT, ITS IMPLEMENTING RULES AND REGULATIONS, AND OTHER APPLICABLE LAWS, RULES AND REGULATIONS

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OPENING OF SEC PAYMENT FACILITIES

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REQUEST FOR COMMENTS ON THE SECOND EXPOSURE DRAFT OF THE MNRC MEMORANDUM CIRCULAR ON THE COMPLIANCE OF MICROFINANCE NGOS WITH REPUBLIC ACT NO. 9510 OR THE CREDIT INFORMATION SYSTEM ACT.

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EXTENSION OF THE MANDATORY GRACE PERIOD FOR LOANS DURING THE MODIFIED ENHANCED COMMUNITY QUARANTINE/GENERAL COMMUNITY QUARANTINE PERIOD

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GUIDELINES FOR THE ISSUANCE OF IATF ACCREDITATION ID OR EQUIVALENT CERTIFICATION FOR ACCREDITED MICROFINANCE NGOS

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GUIDELINES FOR THE APPLICATIONS FOR RAPIDPASS QR CODES FOR THOSE WHO HAVE BEEN ISSUED IATF IDs

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EXTENSION OF THE MANDATORY GRACE PERIOD FOR LOANS DURING THE EXTENDED ENHANCED COMMUNITY QUARANTINE PERIOD

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EXTENSION OF THE DEADLINE FOR THE SUBMISSION OF THE INTEGRATED ANNUAL CORPORATE GOVERNANCE REPORT (I-ACGR)

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ALTERNATIVE MODE FOR DISTRIBUTING and PROVIDING COPIES OF THE NOTICE OF MEETING, INFORMATION STATEMENT, and OTHER DOCUMENTS IN CONNECTION WITH THE HOLDING OF ANNUAL STOCKHOLDERS’ MEETING(“ASM”) FOR 2020

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DRAFT MEMORANDUM CIRCULAR ON THE GUIDELINES ON AUTHENTICATION OF ARTICLES OF INCORPORATION IN APPLICATIONS FOR REGISTRATION OF NEW DOMESTIC CORPORATIONS

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