|
Announcements
Download the PDF file to your computer for changing, viewing or printing, now or at later date. Saving a larger file to your hard drive is the best option, particularly if you do not have a fast Internet connection. Instructions: - To view: Click on the Memo Title to open the file in another tab.
- To download: Click on the Memo Title to open the file in another tab, then click on the Save As/Download button.
|
| Title |
Date Announced |
| Request for Further Comments on the Proposed Amendments to Rules Governing Registrars of Qualified Institutional and Individual Buyers |
December 19, 2024
|
| Reports of a Suspicious Solicitation Scheme |
December 16, 2024
|
| Validation of Claims of Customers of Equitiworld Securities, Inc. |
December 11, 2024
|
| Employee Movement as of 30 NOV 2024 |
December 05, 2024
|
| Takeover of Operations of Equitiworld Securities, Inc. |
November 13, 2024
|
| Employee Movement as of 31 OCT 2024 |
November 08, 2024
|
| Submission of Data for 2025 Risk Assessment |
October 14, 2024
|
| Employee Movement as of 30 SEP 2024 |
October 04, 2024
|
| Updates on Equitiworld Securities, Inc. |
October 03, 2024
|
| Employee Movement as of 31 AUG 2024 |
September 06, 2024
|
| Approval of RBCA Excel Template V3 |
September 04, 2024
|
| Recommended Financial Capacity Ranges on the Customer Account Information Form |
August 14, 2024
|
| Employee Movement as of 31 JUL 2024 |
August 02, 2024
|
| Request for Comments on the Proposed Amendments to Rules Governing Registrars of Qualified Insititutional and Individual Buyers |
July 16, 2024
|
| Employee Movement as of 30 JUN 2024 |
July 05, 2024
|
| Involuntary Suspension of Equitiworld Securities, Inc. |
June 28, 2024
|
| Revisions to the RBCA Excel Template |
June 24, 2024
|
| Employee Movement as of 31 MAY 2024 |
June 07, 2024
|
| Commencement of 2024 Annual Regulatory Examination |
May 10, 2024
|
| Employee Movement as of 30 APR 2024 |
May 03, 2024
|
| Publication of Disciplinary Actions |
April 30, 2024
|
| 2024 Trading Participants' Seminar - Program |
April 26, 2024
|
| Employee Movement as of 31 MAR 2024 |
April 05, 2024
|
| 2024 Trading Participants' Seminar |
April 05, 2024
|
| Change of Business Address |
March 12, 2024
|
| Employee Movement as of 29 FEB 2024 |
March 01, 2024
|
| Voluntary Suspension of Credit Suisse Securities (Philippines), Inc. |
February 29, 2024
|
| Request for Comments on the Guidance for Regulated Entities on Establishing and Maintaining a Cyber Resilience Framework |
February 23, 2024
|
| Voluntary Suspension of J.M. Barcelon & Co., Inc. |
February 14, 2024
|
| Employee Movement as of 31 JAN 2024 |
February 02, 2024
|
| Survey for the 2024 CMIC Trading Participants' Seminar |
February 01, 2024
|
| Submission of Reports and Other Documents to CMIC |
January 26, 2024
|
| Employee Movement as of 31 DEC 2023 |
January 05, 2024
|
| Publication of Disciplinary Actions |
December 28, 2023
|
| Voluntary Suspension of DBP-Daiwa Capital Markets Philippines, Inc. |
December 20, 2023
|
| Employee Movement as of 30 NOV 2023 |
December 01, 2023
|
| Employee Movement as of 31 OCT 2023 |
November 10, 2023
|
| 2023 Trading Participants' Seminar Materials & Certificates |
November 09, 2023
|
| Written Supervisory Procedures on Securities Borrowing & Lending and Short Selling |
October 31, 2023
|
| 2023 Trading Participants' Seminar |
October 24, 2023
|
| Submission of Data for 2024 Risk Assessment |
October 19, 2023
|
| Registration to the 2023 Trading Participants' Seminar |
October 12, 2023
|
| 2023 Trading Participants' Seminar |
October 11, 2023
|
| Employee Movement as of 30 SEP 2023 |
October 06, 2023
|
| Voluntary Suspension of Trans-Asia Securities, Inc. |
September 25, 2023
|
| Proposed Amendments to Article XII of the CMIC Rules |
September 18, 2023
|
| Employee Movement as of 31 AUG 2023 |
September 01, 2023
|
| Amendments to the CMIC Rules Relative to T+2 Settlement Cycle |
August 22, 2023
|
| RBCA Excel Template |
August 18, 2023
|
| Employee Movement as of 31 JUL 2023 |
August 04, 2023
|
| Publication of Disciplinary Actions |
July 25, 2023
|
| Request for Comments on the Proposed Amendments to SRC Rules and Memorandum Circular No. 16, Series of 2004, Relative to the T+2 Settlement Cycle |
July 21, 2023
|
| Survey for the 2023 CMIC Trading Participants' Seminar |
July 13, 2023
|
| Employee Movement as of 30 JUN 2023 |
July 07, 2023
|
| Employee Movement as of 31 MAY 2023 |
June 02, 2023
|
| Forum on the Proposed T+2 Settlement Cycle |
May 16, 2023
|
| Commencement of 2023 Annual Regulatory Examination |
May 16, 2023
|
| Proposed T+2 Settlement Cycle |
May 11, 2023
|
| Employee Movement as of 30 APR 2023 |
May 05, 2023
|
| Employee Movement as of 31 MAR 2023 |
April 05, 2023
|
| Submission of 2022 Annual Audited Financial Statements |
March 30, 2023
|
| Employee Movement as of 28 FEB 2023 |
March 03, 2023
|
| Employee Movement as of 31 JAN 2023 |
February 03, 2023
|
| Employee Movement as of 31 DEC 2022 |
January 06, 2023
|
| Training Programs |
January 05, 2023
|
| Publication of Disciplinary Actions |
December 29, 2022
|
| R & L Investments, Inc. Allocation Plan |
December 22, 2022
|
| CMIC Website Maintenance |
December 06, 2022
|
| Employee Movement as of 30 NOV 2022 |
December 02, 2022
|
| Submission of Data for 2023 Risk Assessment |
November 04, 2022
|
| Employee Movement as of 31 OCT 2022 |
November 04, 2022
|
| Employee Movement as of 30 SEP 2022 |
October 07, 2022
|
| 2022 Trading Participants' Seminar Materials and Certificates |
September 14, 2022
|
| Employee Movement as of 31 AUG 2022 |
September 02, 2022
|
| 2022 Trading Participants' Seminar Program |
August 26, 2022
|
| Registration to the 2022 Trading Participants' Seminar |
August 22, 2022
|
| 2022 Trading Participants' Seminar |
August 18, 2022
|
| Commencement of 2022 Annual Regulatory Examination |
August 17, 2022
|
| Employee Movement as of 31 JUL 2022 |
August 05, 2022
|
| Employee Movement as of 30 JUN 2022 |
July 01, 2022
|
| Survey for the 2022 CMIC Trading Participants' Seminar |
June 14, 2022
|
| Employee Movement as of 31 MAY 2022 |
June 03, 2022
|
| Employee Movement as of 30 APR 2022 |
May 05, 2022
|
| Voluntary Suspension of Phil-Progress Securities Corporation |
April 29, 2022
|
| Employee Movement as of 31 MAR 2022 |
April 01, 2022
|
| Publication of Disciplinary Actions |
March 25, 2022
|
| Employee Movement as of 28 FEB 2022 |
March 04, 2022
|
| Submission of 2021 Annual Audited Financial Statements |
February 15, 2022
|
| Employee Movement as of 31 JAN 2022 |
February 07, 2022
|
| Employee Movement as of 31 DEC 2021 |
January 07, 2022
|
| Training Programs |
December 10, 2021
|
| Employee Movement as of 30 NOV 2021 |
December 03, 2021
|
| Employee Movement as of 31 OCT 2021 |
November 05, 2021
|
| Submission of Data for 2022 Risk Assessment |
October 29, 2021
|
| Updated CMIC Contact Information and Compliance with Reportorial Requirements |
October 26, 2021
|
| Employee Movement as of 30 SEP 2021 |
October 04, 2021
|
| Publication of Disciplinary Actions |
September 16, 2021
|
| Survey on Targeted Financial Sanctions for SEC Covered Persons |
September 09, 2021
|
| Employee Movement as of 31 AUG 2021 |
September 03, 2021
|
| Capital Market Operations Under the Enhanced Community Quarantine |
August 06, 2021
|
| Employee Movement as of 31 JUL 2021 |
August 06, 2021
|
| Compliance with Reportorial Requirements and Measures Implemented Due to ECQ |
August 05, 2021
|
| Employee Movement as of 30 JUN 2021 |
July 02, 2021
|
| Commencement of 2021 Annual Regulatory Examination |
June 24, 2021
|
| System Downtime Notice |
June 16, 2021
|
| Employee Movement as of 31 MAY 2021 |
June 04, 2021
|
| 2021 Trading Participants' Seminar Materials and Cerificates |
June 04, 2021
|
| 2021 Trading Participants' Seminar Program |
May 26, 2021
|
| Registration for the 2021 Trading Participants' Seminar |
May 18, 2021
|
| 2021 Trading Participants' Seminar |
May 12, 2021
|
| Employee Movement as of 30 APR 2021 |
May 07, 2021
|
| Request for Comments on Proposed Amendments to SRC Rules 9 And 10 |
April 16, 2021
|
| Employee Movement as of 31 MAR 2021 |
April 08, 2021
|
| Compliance with Reportorial Requirements and Measures Implemented Due to Continuing GCQ |
March 22, 2021
|
| Employee Movement as of 28 FEB 2021 |
March 05, 2021
|
| Voluntary Suspension of Tri-State Securities, Inc. |
March 04, 2021
|
| Request for Comments on the Implementing Rules and Regulations of the Financial Institutions Strategic Transfer (FIST) Act |
February 19, 2021
|
| Submission of Monthly Statements on PSE Shares and Compliance with the Rule on Independent Directors |
February 10, 2021
|
| Employee Movement as of 31 JAN 2021 |
February 05, 2021
|
| Publication of Disciplinary Actions |
January 18, 2021
|
| Employee Movement as of 31 DEC 2020 |
January 07, 2021
|
| Training Programs |
January 04, 2021
|
| Guidance for Regulated Entities on Establishing and Maintaining a Cybersecurity Framework |
December 17, 2020
|
| Voluntary Suspension of King's Power Securities, Inc. |
December 17, 2020
|
| Employee Movement as of 30 NOV 2020 |
December 04, 2020
|
| Temporary Closure of CMIC's Offices |
November 28, 2020
|
| Employee Movement as of 31 OCT 2020 |
November 06, 2020
|
| TP Forum Survey |
October 14, 2020
|
| Submission of Data for 2021 Risk Assessment |
October 09, 2020
|
| Employee Movement as of 30 SEP 2020 |
October 02, 2020
|
| Employee Movement as of 31 AUG 2020 |
September 04, 2020
|
| Employee Movement as of 31 JUL 2020 |
August 07, 2020
|
| Request for the Second Round of Comments on the Proposed SEC Rules on the Number of Independent Directors and Sectoral Representatives of Exchanges and Other Organized Markets |
August 06, 2020
|
| CMIC Contact Details and Reportorial Requirements |
August 03, 2020
|
| Temporary Suspension of Trading Operations and/or Closure of Offices by Trading Participants |
July 14, 2020
|
| Publication of Disciplinary Actions |
July 14, 2020
|
| Employee Movement as of 30 JUN 2020 |
July 03, 2020
|
| Proposed Simplified Rules on Onboarding Procedures for Low-Risk Accounts |
July 01, 2020
|
| Proposed SEC Rules on the Number of Independent Directors of Exchanges and Other Organized Markets |
June 26, 2020
|
| Temporary Closure of CMIC's Offices |
June 24, 2020
|
| Employee Movement as of 31 MAY 2020 |
June 05, 2020
|
| Commencement of 2020 Annual Regulatory Examination |
May 22, 2020
|
| Employee Movement as of 30 APR 2020 |
May 08, 2020
|
| Trading Participants' Contact Details |
April 20, 2020
|
| Employee Movement as of 31 MAR 2020 |
April 06, 2020
|
| Partial Discontinuance of CMIC Memorandum 2020-011 |
March 23, 2020
|
| CMIC Contact Details and Reportorial Requirements |
March 18, 2020
|
| Compliance with CMIC Requirements |
March 17, 2020
|
| Submission of Reports and Other Documents to CMIC |
March 09, 2020
|
| Employee Movement as of 29 FEB 2020 |
March 06, 2020
|
| Survey for the 2020 CMIC Trading Participants' Seminar |
February 12, 2020
|
| Submission of 2019 Annual Audited Financial Statements |
February 11, 2020
|
| Approval and Effectivity of the Implementing Guidelines on Securities Borrowing and Lending and Short Selling |
February 10, 2020
|
| Employee Movement as of 31 JAN 2020 |
February 07, 2020
|
| Publication of Disciplinary Actions |
January 24, 2020
|
| Training Programs and Other Reports |
January 08, 2020
|
| Employee Movement as of 31 DEC 2019 |
January 03, 2020
|
| Updates on the Investigation on Unauthorized Transfers of Shares Involving R & L |
December 20, 2019
|
| Employee Movement as of 30 NOV 2019 |
December 06, 2019
|
| Updates on the Investigation on Unauthorized Transfers of Shares Involving R & L |
November 29, 2019
|
| Unauthorized Transfer of Shares Involving R & L Investments, Inc. |
November 15, 2019
|
| Takeover by the CMIC of the Operations of R & L Investments, Inc. |
November 14, 2019
|
| Suspension of R & L Investments, Inc. and Investigation of the Parties Involved |
November 08, 2019
|
| Employee Movement as of 31 OCT 2019 |
November 07, 2019
|
| Submission of Data for 2020 Risk Assessment |
October 22, 2019
|
| Publication of Disciplinary Actions |
October 18, 2019
|
| Employee Movement as of 30 SEP 2019 |
October 08, 2019
|
| Updated Contact Numbers |
October 02, 2019
|
| Employee Movement as of 31 AUG 2019 |
September 06, 2019
|
| Employee Movement as of 31 JUL 2019 |
August 02, 2019
|
| Publication of Disciplinary Actions |
July 09, 2019
|
| Employee Movement as of 30 JUN 2019 |
July 08, 2019
|
| Submission of New Business Addresses and Contact Information |
June 28, 2019
|
| Employee Movement as of 31 MAY 2019 |
June 07, 2019
|
| Employee Movement as of 30 APR 2019 |
May 03, 2019
|
| Submission of All Transactions of PSE Shares |
April 17, 2019
|
| Employee Movement as of 31 MAR 2019 |
April 04, 2019
|
| 2019 Trading Participants' Seminar Program |
April 02, 2019
|
| Commencement of 2019 Annual Regulatory Examination |
March 25, 2019
|
| Publication of Disciplinary Actions |
March 15, 2019
|
| SEC Directive to Submit Monthly Sworn Statement (re: PSE Shares) |
March 14, 2019
|
| 2019 Trading Participants' Seminar |
March 13, 2019
|
| Updated Contact Numbers (Deferment) |
March 06, 2019
|
| Employee Movement as of 28 FEB 2019 |
March 04, 2019
|
| Updated Contact Numbers |
March 01, 2019
|
| Survey for the 2019 CMIC Trading Participants' Seminar |
February 08, 2019
|
| Employee Movement as of 31 JAN 2019 |
February 01, 2019
|
| Publication of Disciplinary Actions |
January 24, 2019
|
| Submission of 2018 Annual Audited Financial Statement |
January 15, 2019
|
| Employee Movement as of 31 DEC 2018 |
January 04, 2019
|
| Training Programs, PSE Shares, and Other Reports |
January 03, 2019
|
| Proposed CMIC Guidelines on Securities Borrowing and Lending (SBL) and Short Selling |
December 14, 2018
|
| Employee Movement as of 30 NOV 2018 |
December 10, 2018
|
| Revision of the General Information Sheet to Include Beneficial Ownership Information |
December 03, 2018
|
| 2018 Anti-Money Laundering and Combating the Financing of Terrorism Guidelines |
November 23, 2018
|
| Briefing on the Impact of Securities Borrowing and Lending and Short Selling Transactions on the Risk Based Capital Adequacy (RBCA) Reports |
November 23, 2018
|
| Employee Movement as of 31 OCT 2018 |
November 07, 2018
|
| 2018 Guidelines on Anti-Money Laundering and Combating the Financing of Terrorism for SEC Covered Institutions and Other SEC Regulated Persons/Entities |
October 31, 2018
|
| Compliance with Data Privacy Laws and Data Protection Regulations |
October 29, 2018
|
| Submission of Data for 2019 Risk Assessment |
October 17, 2018
|
| Risk Based Capital Adequacy (RBCA) Report for the period of October 31, 2018 |
October 11, 2018
|
| Employee Movement as of 30 SEP 2018 |
October 09, 2018
|
| Publication of Disciplinary Actions as of 05 OCT 2018 |
October 05, 2018
|
| Proposed Guidelines for the Early Release of Trade Proceeds by Trading Participants |
October 01, 2018
|
| System Downtime Notice |
September 21, 2018
|
| Proposed Amendments to Article X, Section 12 of the CMIC Rules |
September 19, 2018
|
| Employee Movement - August 2018 |
September 07, 2018
|
| Submission of All Transactions of PSE Shares |
August 23, 2018
|
| Publication of Disciplinary Actions |
August 16, 2018
|
| Employee Movement - July 2018 |
August 03, 2018
|
| Voluntary Suspension of PCCI Securities Brokers Corporation |
July 18, 2018
|
| Employee Movement - June 2018 |
July 05, 2018
|
| Employee Movement - May 2018 |
June 01, 2018
|
| Employee Movement - April 2018 |
May 04, 2018
|
| 2018 TP Seminar Program |
April 10, 2018
|
| Employee Movement - March 2018 |
April 06, 2018
|
| Publication of Disciplinary Actions |
April 05, 2018
|
| Commencement of 2018 Annual Regulatory Examination |
April 02, 2018
|
| 2018 Trading Participants' Seminar |
April 02, 2018
|
| Submission of 2017 Annual Audited Financial Statements |
March 09, 2018
|
| Employee Movement - February 2018 |
March 05, 2018
|
| Survey for the 2018 TP Seminar |
February 28, 2018
|
| New Contact Numbers |
February 21, 2018
|
| Orientation on SEC Memo Circ. No. 12, Series of 2017 |
February 19, 2018
|
| Employee Movement - January 2018 |
February 06, 2018
|
| New Office Address |
January 29, 2018
|
| AMLC Registration and Reporting Guidelines |
January 19, 2018
|
| Employee Movement - December 2017 |
January 05, 2018
|
| No Results Found. |
|
First
Previous
Next
Last
|
|
