Issuers of Securities

Mondays to Fridays, 8:00am-5:00pm without noon break

1. Corporations that will conduct Initial Public Offering

2. Corporation that will apply for Listing on an Exchange

3. Companies issuing securities to raise more capital

4. Companies that will issue Debt Securities to the Public

5. Companies that will issue Club Shares or Membership Certificates

6. Companies that will issue Mutual Funds/Investment Contracts

Type of Securities

Department in Charge

Address

Equity Securities
Debt Instruments

Markets and Securities Regulation Department

G/F Secretariat Building PICC Complex, Roxas Boulevard, Pasay City, 1307

Mutual Funds
Exchange-Traded Funds
Membership Certificates
Club Shares
Timeshares

Corporate Governance and Finance Department

G/F Secretariat Building PICC Complex, Roxas Boulevard, Pasay City, 1307

818-7264

Pre-evaluation of Documents:	30 Minutes
Processing of Application:	Within 45 calendar days from the filing of the Registration Statement (RS), unless the registrant consent to the extension of processing time of the application or waives the period and are allowed to amend the RS as provided in Section 14 of the Securities Regulation Code (SRC), the Department shall elevate the matter to the Commission En Banc for its decision, to either render effective the RS or reject it, based on the submitted information pursuant to Section 12.6 of the SRC.
Under Section 13.1(b) of the SRC, the Commission may reject Registration Statement which on its face is incomplete.
In the event that the RS is rejected pursuant to Section 13, the filing fee paid thereon is forfeited.

Pre evaluation Procedures

STEP DURATION	APPLICANT/CLIENT	SERVICE PROVIDER	PERSON IN CHARGE
1 30 mins	Presents Registration Statement, Prospectus and supporting documents	1. Pre-evaluate application and supporting documents. a. If application and supporting documents are not complete, the same are returned to applicant with list of requirements not complied with b. If application and supporting documents are complete, Specialist prepares Payment Assessment Form	Securities Specialist
2 10 mins	Presents the PAF at the Cashier and settles the required fee	Process payment and issue Official Receipt	Cashier
3 5 mins	Submit the machine-validated PAF to MSRD/CGFD together with the Registration Statement, Prospectus and other supporting documents	1. Stamp receive documents 2. Returns one (1) copy of the application documents to the Client	Executive Assistant/Support Staff

Note :Duration of activity under normal circumstances