Application For Certificate Of Registration Of Capital Market Institutions As Broker Dealers In Securities (Bd) (Page 2 of 2) in pdf

Application For Certificate Of Registration Of Capital Market Institutions As Broker Dealers In Securities (Bd) Page 2

a. With respect to a foreign corporation,

certificate that the Board of Directors has authorized,

in a resolution, the President and Corporate Secretary,

to sign an irrevocable consent to service of process

upon the Commission as service to the corporation

b. Articles of Incorporation indicating that the purpose of the

applicant is to engage in the business of a Broker Dealer

c. Board Resolution attesting to particulars contained in the

application

16. Business Plan regarding proposed and/or current operations,

including projected volume of business

should reflect applicant’s ability & plans to engage in profitable

level of business

17. A yearly schedule/timetable on the implementation of the training

program for the staff, which specifies, among others,

 the description of the training program,

 date of implementation, &

 name of participants

in accordance with SRC Rule 30.2 D

18. If the applicant is not a member of or participant in an SRO,

or has not applied for such membership or participation therein,

a written undertaking that he will become a member or participant

in an SRO in the near future

19. List of the

 Board of Directors,

 Officers, &

 Employees

identifying respective positions

signed by the applicant’s President

20. Manual on Corporate Governance

21. Manual on Anti Money Laundering

22. Board Resolution on the Adoption of the Manuals

23. All documents required for incorporation/ Filing of Amended

Articles of Incorporation/Certificate of Increase in Capital Stock

24. Monitoring Clearance from appropriate Department/Division,

if applicable

25. Others

Notes:

 Submit original + 3 copies.

 Use size A4 bond paper.

 All documents executed abroad should be authenticated by the

Philippine Embassy or Consular Office.

 Only applications which are complete and compliant in form

and substance shall be issued the Payment Assessment Form.

Remarks:

Authorized Representative

Securities Counsel/Specialist

(Indicate full name and designation/title.)

_________________________________________________________________________________________________________________________________________________________

Page 2 of 2

C-Complied with

NC-Not Complied with

N/A-Not Applicable

Note: This Checklist must be submitted to form part of the application.

tva/ngb.lu.clist.fx.wdraw

tva.lu.clist.cm.bd

Application For Certificate Of Registration Of Capital Market Institutions As Broker Dealers In Securities (Bd) Page 2

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