Request for Comments on the Proposed Amendments to Rules Governing Registrars of Qualified Insititutional and Individual Buyers
Employee Movement as of 30 JUN 2024
Involuntary Suspension of Equitiworld Securities, Inc.
Revisions to the RBCA Excel Template
Employee Movement as of 31 MAY 2024

CMIC Requirements and Deadline

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
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