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Announcements
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| Title |
Date Announced |
| 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
|
| 2021 Trading Participants' Seminar Materials and Cerificates |
June 04, 2021
|
| Employee Movement as of 31 MAY 2021 |
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
|
| 2018 Trading Participants' Seminar |
April 02, 2018
|
| Commencement of 2018 Annual Regulatory Examination |
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
|
| Publication of Disciplinary Actions |
December 19, 2017
|
| Employee Movement - November 2017 |
December 05, 2017
|
| Public Key Infrastructure (PKI) Broker ID |
December 05, 2017
|
| Lifting of the Suspension of DW Capital, Inc. |
December 05, 2017
|
| Employee Movement - October 2017 |
November 06, 2017
|
| Submission of Data for 2018 Risk Assessment and Other Reports |
November 03, 2017
|
| Employee Movement - September 2017 |
October 05, 2017
|
| Updated List of Compliant TPs for the 2016 Annual Regulatory Audit |
September 20, 2017
|
| AMLC Rules on the Imposition of Administrative Sanctions |
September 20, 2017
|
| Data for National Tax Research Center |
September 11, 2017
|
| Employee Movement - August 2017 |
September 08, 2017
|
| Suspension of DW Capital, Inc. (8/10/17) |
August 11, 2017
|
| Suspension of DW Capital, Inc. (8/11/17) |
August 11, 2017
|
| AMLC Resolution No. 42, Series of 2017 |
August 10, 2017
|
| Employee Movement - July 2017 |
August 04, 2017
|
| Employee Movement - June 2017 |
July 10, 2017
|
| List of Compliant TPs for the 2016 Annual Regulatory Audit |
July 07, 2017
|
| Employee Movement - May 2017 |
June 05, 2017
|
| Publication of Disciplinary Actions |
June 02, 2017
|
| Employee Movement - April 2017 |
May 05, 2017
|
| Employee Movement - March 2017 |
April 10, 2017
|
| Guidelines on the Submission of the Annual Report on Segregation of Functions (Chinese Wall) |
March 22, 2017
|
| Commencement of 2017 Annual Regulatory Examination |
March 15, 2017
|
| Employee Movement - February 2017 |
March 03, 2017
|
| Submission of 2016 Annual Audited Financial Statements |
February 23, 2017
|
| Employee Movement - January 2017 |
February 06, 2017
|
| Trading of Dollar-Denominated Securities: Accounting and Recording Guidelines for Trading Participants |
January 30, 2017
|
| Employee Movement - December 2016 |
January 09, 2017
|
| Deadline for Submission of Various Reports |
January 03, 2017
|
| Deadline for Submission of List of Directors, Officers, Agents, and Employees |
December 19, 2016
|
| Submission of Data for 2017 Risk Assessment |
December 15, 2016
|
| Notice of System Downtime |
December 09, 2016
|
| Employee Movement - November 2016 |
December 06, 2016
|
| Employee Movement - October 2016 |
November 09, 2016
|
| 2016 TP Seminar Program |
October 25, 2016
|
| 2016 Trading Participants' Seminar |
October 14, 2016
|
| Employee Movement - September 2016 |
October 06, 2016
|
| PERA Examination |
October 05, 2016
|
| System Downtime Notice |
October 04, 2016
|
| Publication of Disciplinary Actions |
September 30, 2016
|
| Anti-Money Laundering Council Resolution No. 69, Series of 2016 |
September 30, 2016
|
| Employee Movement - August 2016 |
September 05, 2016
|
| AMLC Resolution No. 61, Series of 2016 |
August 12, 2016
|
| Publication of Disciplinary Actions |
August 11, 2016
|
| Employee Movement - July 2016 |
August 08, 2016
|
| Change in Policy in Submission of Reports |
July 22, 2016
|
| Guidelines on the Submission of Monthly Complaint Report |
July 21, 2016
|
| Employee Movement - June 2016 |
July 11, 2016
|
| Allocation Plan of I.Ackerman & Co., Inc. |
July 04, 2016
|
| Publication of Disciplinary Actions |
June 10, 2016
|
| Employee Movement - May 2016 |
June 08, 2016
|
| Employee Movement - April 2016 |
May 12, 2016
|
| Implementation of Rule 28.1.2.5 (o) of the 2015 Implementing Rules and Regulations of the Securities Regulations Code |
May 06, 2016
|
| Employee Movement- March 2016 |
April 12, 2016
|
| Guidelines in the Implementation of Rule 28.1.2.5.2. (n) (Website Requirement) and Rule 34.11.4. (Annual Report on Measures to Enforce Chinese Wall Rules) of the 2015 Implementing Rules and Regulations of the Securities Regulation Code |
April 05, 2016
|
| Guidelines in the Implementation of Rule 28.1.7. (New Requirements), Rule 49.1.1.3. (RBCA Report), and Rule 52.1.9.3. (Monthly Report on Complaints) of the 2015 Implementing Rules and Regulations of the Securities Regulation Code |
April 05, 2016
|
| Implementation of the 2015 Implementing Rules and Regulations of the Securities Regulation Code |
April 04, 2016
|
| Commencement of 2016 Annual Regulatory Examination |
March 21, 2016
|
| Online Filing/Submission of the Risk Based Capital Adequacy (RBCA) Report through Electronic Mail |
March 16, 2016
|
| Employee Movement - February 2016 |
March 04, 2016
|
| Employee Movement - January 2016 |
February 09, 2016
|
| Publication of Disciplinary Actions |
January 22, 2016
|
| Submission of 2015 Annual Audited Financial Statements |
January 21, 2016
|
| Rule 28.1.7 of the Implementing Rules and Regulations of the Securities Regulation Code |
January 19, 2016
|
| Employee Movement - December 2015 |
January 08, 2016
|
| Deadlines for Submission of Various Reports |
January 04, 2016
|
| Deferment of TP Forum |
December 11, 2015
|
| Submission of Data for 2016 Risk Assessment |
December 11, 2015
|
| Employee Movement - November 2015 |
December 03, 2015
|
| Trading Participants' Forum - 16 December 2015 |
December 01, 2015
|
| Effectivity of the 2015 Implementing Rules and Regulations of the Securities Regulation Code |
November 09, 2015
|
| Employee Movement - October 2015 |
November 04, 2015
|
| Prohibition on Donation to Political Parties/ Candidates |
November 02, 2015
|
| Employee Movement - September 2015 |
October 05, 2015
|
| Submission of Done Through Transaction Reports and Block Sale Reportorial Requirements via EDGE |
September 24, 2015
|
| Employee Movement - August 2015 |
September 04, 2015
|
| Order of the Securities and Exchange Commission dated 25 August 2015 |
August 25, 2015
|
| Approval of the 2015 Implementing Rules and Regulations of the Securities Regulation Code |
August 13, 2015
|
| Employee Movement - July 2015 |
August 10, 2015
|
| Employee Movement - June 2015 |
July 09, 2015
|
| Employee Movement - May 2015 |
June 09, 2015
|
| Takeover of the Operations of I. Ackerman & Co., Inc. |
May 27, 2015
|
| Employee Movement - April 2015 |
May 12, 2015
|
| Reminder on the Submission of Various Reports to CMIC |
May 07, 2015
|
| Employee Movement - March 2015 |
April 08, 2015
|
| Voluntary Suspension of Francisco Ortigas Securities, Inc. |
March 25, 2015
|
| Commencement of 2015 Annual Regulatory Examination |
March 16, 2015
|
| Employee Movement - February 2015 |
March 09, 2015
|
| Reminders: 2015 Trading Participants' Seminar |
February 10, 2015
|
| Submission of Stock Market Investor Profile |
February 04, 2015
|
| Employee Movement- January 2015 |
February 03, 2015
|
| Cessation of Trading Operations by Francisco Ortigas Securities, Inc. |
January 30, 2015
|
| Publication of Disciplinary Actions |
January 23, 2015
|
| 2015 Trading Participants' Seminar |
January 22, 2015
|
| Submission of 2014 Annual Audited Financial Statements |
January 09, 2015
|
| Employee Movement - December 2014 |
January 06, 2015
|
| Submission of Data for 2015 Risk Assessment |
January 05, 2015
|
| No Results Found. |
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