Licensing of
Capital Market
Professionals
Company Registration and
Monitoring Department
— Licensing Unit
The application is reviewed, and
the Certificate of Registration
is initialed by the Assistant Director.
The documents are forwarded to
the Director for final review of the
application, and for signature of
the Certificate of Registration.
The application is re-evaluated by a
Specialist.
In case of deficiency, the applicant
is immediately notified.
If all is in order, the Certificate of
Registration will be prepared and
will be forwarded to the Assistant
Director/Officer-in-Charge along
with all the other documents.
Claim the signed Certificate of
Registration at the Releasing Unit of
the Company Registration and
Monitoring Department.
Proceed to the Company Registration and
Monitoring Department and present the
following documents for evaluation
processing:
1) Cover Sheet;
2) Application Form;
3) If the applicant is a foreigner, present a
certified true copy of a valid work
permit duly issued by the Department
of Labor and Employment or any
appropriate agency;
4) Copies of valid identification cards/
passport;
5) Evidence, preferably a certified true
copy, that the applicant has complied
with the applicable examination
requirements and/or other educational
or technical qualifications; and
6) Written evidence that the employer
has agreed to employ the applicant
contingent upon his/her registration as
Capital Market Professional.
In case of deficiency upon evaluation, a
checklist for compliance will be issued
along with all the other documents.
If all are in order, a Payment Assessment
Form will be issued.
SEC Form IHU/GSED-CO-AP
Registration of Associated Person/
Compliance Officer of Investment
House/Underwriter of Securities and
Government Securities Eligible Dealers
SEC Form ICA-CO
Registration of Compliance Officer
of and Investment Company Adviser/
Manager
SEC Form ICA-CIS
Registration of Certified Investment
Solicitor of Investment Company
Adviser/Manager
Pay the corresponding fees at the SEC
Cashier.
All submitted documents will be carefully
evaluated.
Licensing Fees
Associated Person (AP) /
Compliance Officer
P3,000.00 plus Legal Research
Fee* (LRF)
Salesman P2,000.00 plus
LRF
Certified Investment
Solicitor
P2,500.00 plus
LRF
Investment Company
Adviser / Compliance
Officer
P3,000.00 plus
LRF
*LRF = 1% of the Registration/Filing Fee but
not less than P50.00
Log on to the SEC website at
www.sec.gov.ph.
Under the Forms and Fees tab of the
Home page, click Capital Market
Professionals.
Download the appropriate registration
forms and accomplish the same.
Registration of Associated Person
of a Broker Dealer
SEC Form 28-S/28-AMD
Registration of Salesman
of a Broker Dealer
SEC Form 28-AP/28-AMD
