CORPORATE GOVERNANCE AND FINANCE DEPARTMENT
NOTICE
TO : INVESTMENT COMPANIES, REGISTERED ISSUERS OF
PROPRIETARY AND NON-PROPRIETARY SHARES/TIMESHARES,
PUBLIC COMPANIES, FINANCING COMPANIES, LENDING
COMPANIES, FOUNDATIONS, ACCREDITED MICROFINANCE NGOs,
CORPORATE GOVERNANCE INSTITUTIONAL TRAINING PROVIDERS
AND PUBLICLY-LISTED COMPANIES UNDER THE SUPERVISION OF
THE CORPORATE GOVERNANCE AND FINANCE DEPARTMENT
(CGFD)
SUBJECT : 1. RECEIVING AND FILING OF REPORTS, LETTERS AND REQUESTS
2. ISSUANCE OF PAYMENT ASSESSMENT FORM
3. PAYMENT OF ANNUAL FEES
4. REQUEST FOR MONITORING AND ISSUANCE OF MONITORING
SHEET
5. SUBMISSION OF HARD/ PRINTED COPIES OF DOCUMENTS
DATE : 08 JUNE 2020
In view of the declaration of General Community Quarantine in Metro Manila
starting 01 June 2020, the subject companies are hereby advised of the following:
1. RECEIVING AND FILING OF REPORTS, LETTERS AND REQUESTS
The CGFD Office in PICC Complex, Pasay City is now open from Monday to
Friday (8:00 AM to 3:00PM), to receive hard copies of Information Statement
(SEC Form 20-IS), Registration Statement (SEC Form 12-1), Registration under
Section 7 of the Investment Company Act (ICA-7-1) and Tender Offer Report
(SEC Form 19-1); requests for exemption and Exemptive Relief under the
Securities Regulation Code; and applications for voluntary revocation.
2. ISSUANCE OF PAYMENT ASSESSMENT FORM FOR THE PAYMENT
OF PROCESSING/FILING FEE, ANNUAL FEES, AND PENALTIES
CGFD-covered companies may request for, and be issued, electronic copies of
the PAF by sending a request therefor via email to
[email protected].
3. PAYMENT OF ANNUAL FEES
Lending and Financing Companies with Annual Fees that fell due during the
Enhanced Community Quarantine (ECQ) on 16 March 2020 up to 15 June 2020
are now required to settle and pay their Annual Fees starting 15 June 2020
until 28 June 2020.
4. REQUEST FOR MONITORING AND ISSUANCE OF MONITORING
SHEET
Requests for monitoring of the following companies shall be sent via email
([email protected]):
● Lending Companies
● Financing Companies
● Foundations
● Accredited Microfinance NGOs
The list of documentary requirements and procedures are provided in the links
provided below:
● For Lending Companies and Financing Companies
http://www.sec.gov.ph/lending-companies-and-financing-
companies/request-for-monitoring/
● For Foundations and Accredited Microfinance NGOs
http://www.sec.gov.ph/microfinance-ngo-regulatory-council/request-for-
monitoring/
5. SUBMISSION OF HARD/PRINTED COPIES OF DOCUMENTS
a. PREVIOUSLY FILED VIA EMAIL
The hard copies of reports, letters and requests previously filed via email
since the commencement of the ECQ on 16 March 2020 up to 05 June
2020 are now required to be filed within ten (10) business days from 08
June 2020, or until 23 June 2020 via SEC Express Nationwide
Submission (SENS) through any courier or registered mail.
2
b. NEW SUBMISSION
The hard copies of reports, letters, requests and other documents shall
be filed via SENS through any courier or registered mail, provided that
an advance copy of the submitted document is sent via email
([email protected]) starting June 8, 2020 and thereafter.
All inquiries pertaining to CGFD matters and application/s shall be sent via
email ([email protected]). The CGFD may also be reached at telephone numbers
(+632) 8818-5476 and 8818-5952.
Please be guided accordingly.
