| CMIC Requirements |
Deadline |
| Monthly RBCA Report |
Every 5th and 20th of the month |
| Pledge of Commitment for all salesmen, traders, dealers, agents and Associated Persons |
First Friday of January |
| List of Directors, Officers, Agents, and Employees |
First Friday of January & July of each year |
| List of Directors, Officers, Agents, and Employees with the Personnel Information Sheet of each director, agent or Employee |
Prior to commencement of their trading operations |
| List of Directors, Officers, Salesmen and Employees with their respective photos taken within six (6) months prior to submission, designations and specimen signatures |
Starting May 9, 2016 and every three (3) years thereafter |
| Director, Officer, Agent, or Employee Movement |
Within 30 trading days from the date of effectivity |
| Copy furnished notification of Withheld Employee |
Within 30 trading days from the resignation or termination for whose clearance has been withheld |
| Quarterly Compliance Report |
15th day of January, April, July, October |
| Yearly Schedule/ Timetable of the Implementation of Training Program |
3rd Friday of January |
| Annual Audited Financial Report |
Per CMIC Rule: Within 110 days after the close of fiscal year December 31 unless the SEC provides a different deadline. |
| Annex C (Information of the External Auditor and Audit Engagement with the TP) |
60 calendar days prior to the submission of Annual Audited Financial Report |
| Application for Voluntary Suspension of trading operation |
At least thirty (30) trading days prior to the intended date of cessation of trading operations |
| Written statement confirming the existence or absence of any undisclosed information that could have triggered subject transactions (in case of restriction, halt or suspension of trading by a Trading Participant of a particular listed security |
Not later than 4:00 p.m. of the relevant day |
| Filing of a written Complaint with CMIC against any Trading Participant for Trading-related Irregularities or other violations of the Securities Laws |
Within six (6) months from knowledge of its commission |
| Names of the beneficial owners of listed securities involved in possible Unusual Trading Activities or possible Trading-related Irregularities |
Within five (5) days |
| Certification from the management of the Trading Participant that the Risk Management procedures have been consistently followed |
First Friday of January |
| Disclosure on transaction on listed shares of corporations which would have been prohibited under Section 30.1 of the SRC |
Within five (5) days after an affiliated transaction |
| Application for Early Settlement |
Bi-annual basis before the early settlement |
| Disclosure for Early Settlement |
From the date of early settlement until the actual settlement |
| PSE Shares Disclosure |
T+1 after the transactions |
| Annual Report on Segregation of Functions (Chinese Wall) |
Every 15th of March |
