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Compliance Tools: Know the Rules

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CMIC Conducts 2019 Trading Participants' Seminar

by Aerielle Rose B. Mendiola

The Capital Markets Integrity Corporation (CMIC) held its annual Trading Participants' Seminar last April 5, 2019 at The City Club, Alphaland Makati Place, Makati City.

With a record of 174 attendees and 85% of the trading participants pr... Read more



Resolutions of CMIC in Three Cases Affirmed by Sec En Banc

18 October 2019

The Securities and Exchange Commission (“SEC” or “Commission”) en banc issued its decisions on three memoranda on appeal separately filed by various trading participants against the resolutio... Read more

Broker to take over DW Capital

Business World | 12 October 2018

STOCK BROKERAGE firm Timson Securities, Inc. is taking over the operations of DW Capital, Inc., after the latter was suspected to be trading P2.6 billion worth of securities without authority.

In a memorandum posted Thursday, the Philippine ... Read more

Biz Buzz: Stockbroker pyramid scam

Philippine Daily Inquirer | 20 Nov 2017

If there is any more doubt as to whether friendship and money should mix, here’s more proof that they don’t? The head honcho of Philippine Commercial Capital Inc.’s stockbrokerage unit has found himself—along with a few oth... Read more

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