Table of Contents - Securities and Exchange Commission€¦ · Table of Contents I. Enforcement ......

SEC Information Inventory

Page 1 of 628

Table of Contents

I. Enforcement & Investor Protection Department page 2-37

II. Economic Research & Training Department page 38-73

III. Extension Offices page 74-519

IV. Financial Management Department page 520-532

V. Human Resource & Administrative Department page 533-562

VI. Information & Communications Technology Department page 563-569

VII. Markets & Securities Regulation Department page 570-593

VIII. Office of the Commission Secretary page 594-606

IX. Office of the General Accountant page 607-619

X. Office of the General Counsel page 620-628

*Pursuant to Executive Order No. 02 (2016), the Commission shall periodically update the mode of

access to information, records, documents or parts thereof to properly reflect any change in existing

laws and jurisprudence. Hence, the Commission reserves the right to determine on each case the

accessibility of any information, records, documents or parts thereof under its custody or possession.


Page 2 of 628

Agency Name SECURITIES AND EXCHANGE COMMISSION

Department/ Office ENFORCEMENT AND INVESTOR

PROTECTION DEPARTMENT

Title or Full Name of Data

MONITORING LIST

Description of Data

List of persons and corporations including

officers and incorporators of corporations and

other entities registered with the Commission

involved in the commission of certain violations

of the SRC and other laws enforced by the

Commission or other acts prejudicial to or

causing grave and irreparable injury to investors

or the investing public.

Online Publication N/A

File Format Paper Copy/Excel for computer database

Location or Download

URL Paper copy/Computer – EIPD

Disclosive/

Accessibility

(If not disclosable/

accessible to the public,

state reason/ legal basis)

No. For SEC use only. Section 6.2 and Sec.

64.2 of the Securities Regulation Code.

Original Data Owner

EIPD, Letter Sender, Informant, Source of

Referral

Data Maintainer

SEC-EIPD, ICTD

Date Released

N/A

Frequency of Update

N/A


Page 3 of 628





DIVISION DOCUMENT LOGS

a. Log Book

b. Database

Description of Data

Logbook which indicate the nature of incoming

documents received by a Division, the name of

sender, the subject of the document, date of

document, date assigned to handling lawyers or

investigators, name of handling lawyer or

investigator, the nature of outgoing documents,

name of intended recipient or addressee, date

forwarded to the Director’s Office, date of

release, date received by recipient or

addressee.




URL

Paper copy/Office Computer – EIPD

Disclosive/

Accessibility




No. For EIPD use only. Section 6.2 and Sec.

64.2 of the Securities Regulation Code.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

As necessary.


Page 4 of 628





RECORDS OF CLOSED AND TERMINATED

CASES

a. Electronic Index

b. Index Cards

Description of Data

Record of cases closed and terminated and

transmitted to the Office of the Director for

safekeeping indicating the title of the case,

handling lawyer or investigator, the subject

matter of the case, the reason for closing and

terminating the case, the date transmitted to the

Office of the Director.




URL Paper copy/Computer – EIPD

Disclosive/

Accessibility




No. For Office use and reference purposes

only. RA 10173 Sec. 13 and Rule 4 Sec. 3(e)

and (f) of the Rules Implementing RA 6713

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

As necessary.


Page 5 of 628





ADVISORIES

Description of Data

Postings on the SEC website informing people

about the suspicious activities of certain entities

found to be engaged in highly dubious or

fraudulent investment schemes or selling

securities to the public without the required

license from the SEC or engaged in acts that

would be prejudicial to or likely to cause grave

or irreparable injury to investors and the

investing public with a warning to the Public

against dealing with said corporations or

persons.

Online Publication Yes, SEC Website

File Format Paper Copy/PDF


URL

Paper copy - EIPD

Electronic Copy in PDF - SEC Website at

http://www.sec.gov.ph/public-information-

2/investors-education-and-

information/advisories-and-notices/

Disclosive/

Accessibility




Yes, accessible to the public

Original Data Owner EIPD

Data Maintainer

SEC-EIPD, ICTD

Date Released

Various years

Frequency of Update

As the need arises

http://www.sec.gov.ph/public-information-2/investors-education-and-information/advisories-and-notices/




Page 6 of 628




Title or Full Name of Data INTERLOCUTORY ORDERS

Description of Data

Orders issued by the Director, Hearing Officer

or Panel which do not finally dispose of the

case.


File Format Paper Copy


URL

EIPD

Disclosive/

Accessibility




Accessible to parties only. Section 142 of the

Corporation Code of the Philippines, Section

6.2 and Sec. 64.2 of the Securities Regulation

Code. Section 3[e] or [f][i], Rule 4 of the Rules

Implementing RA 6713.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released

Various years

Frequency of Update

N/A


Page 7 of 628





CEASE AND DESIST ORDERS

Description of Data

Orders issued by the Commission En Banc and

enforced by the EIPD directing respondent to

cease and desist from doing or continuing to

perform an act prohibited by law or which is

likely to cause grave or irreparable injury or

prejudice to investors or the investing public.

Online Publication Yes, SEC Website

File Format Paper Copy/PDF


URL

Paper copy - EIPD

Electronic copy - SEC Website at

http://www.sec.gov.ph/public-information-2/sec-

issuances/cease-and-desist-order/

Disclosive/

Accessibility




Yes, accessible to the public.

Original Data Owner

EIPD, Commission En Banc.

Data Maintainer

SEC-EIPD, ICTD

Date Released

Various years

Frequency of Update

N/A


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Title or Full Name of Data MEMORANDA

Description of Data Office or inter-Department Communications or

Communications to Commission En Banc




URL

EIPD

Disclosive/

Accessibility




No. For internal use only. Section 142 of the



Code. Deliberative Process Privilege.

Original Data Owner

EIPD, Issuing SEC Department

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


Page 9 of 628




Title or Full Name of Data MAILS/E-MAILS

Description of Data Letters sent to EIPD or its Officers by mail or

through the internet


File Format Paper Copy/Electronic Mail Format(EML)


URL

EIPD, EIPD email address

Disclosive/

Accessibility







Code. Section 3[f]i] Rule 4 of the Rules

Implementing RA 6713.

Original Data Owner

Complainant, Source of Information or Referral.

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


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REFERRALS FOR INVESTIGATION

a. Inter-department

b. Inter-agency

Description of Data

Communications sent to and by other

Departments of the SEC or other agencies of

the government referring matters for

investigation which are outside the jurisdiction

of the Department or which require the use of

the resources and technical capability of a

particular SEC Department or enforcement

agency of the government.




URL

EIPD

Disclosive/

Accessibility







Code. Section 3[f][i], Rule 4 of the Rules

Implementing Republic Act No. 6713

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


Page 11 of 628




Title or Full Name of Data DEPARTMENT DOCUMENT LOGS

Description of Data

Logs which indicate the nature of the incoming

document received, the name of the sender, the

names of the parties, the title of the case to

which the document pertains, the subject matter

of the document, the date the document was

filed with or received by the Department, and

the name of the handling lawyer or investigator

to whom a particular document is assigned for

appropriate action, the nature of the outgoing

document, the date when the document is

released for service or for mailing, the manner

of delivery, the names and addresses of

intended recipients.


File Format Paper Copy//Microsoft Excel for computer

database


URL

Paper Copy/Computer Database – EIPD

Disclosive/

Accessibility







Code. Sec. 3, [f][i], Rule 4 of the Rules

Implementing R.A. No. 6713

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


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Title or Full Name of

Data CASE FILES

Description of Data

Folders with corresponding reference or case

numbers containing the files of cases filed or

pending before the Department or being

investigated, decided or executed or transmitted

to the Office of the Director for safekeeping

which may consist of verified complaints,

petitions, answer or comment of respondents,

documentary evidence, affidavits of witnesses,

minutes of proceedings before the hearing

officer, interlocutory orders, summons, notices,

subpoenas, assessment reports, field

investigation reports, letter to complainant/s,

investigation report, screen shots of websites,

or webpages, show cause orders or letters, final

orders, decisions, resolutions, writs of execution

and other processes, memoranda for the

Commission En Banc, motions, pleadings,

supporting documentary evidence such as

CAIFs, Trade Files, Ledgers, Purchase and

Sales Invoices, Confirmation Invoices, Referrals

from other SEC Departments, SROs or other

government agencies, Identification cards,

Photocopies of passport and passport numbers,

Corporate Filings with the SEC, Articles of

Incorporation and By-laws, Audited Financial

Statements and other documents.



Location or

Download URL

EIPD

Disclosive/

Accessibility

No. Section 142 of the Corporation Code of the

Philippines, Section 6.2 and Sec. 64.2 of the


Page 13 of 628


accessible to the

public, state reason/

legal basis)

Securities Regulation Code. Section 3 [e] and [f]

Rule 4 of the Implementing Rules of RA 6713.

Original Data Owner

SEC, EIPD, Filers, Sources of Referral,

Witnesses, Sources of Documents and other

Evidence.

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update N/A


Page 14 of 628




Title or Full Name of Data REFERRAL LETTERS

Description of Data

Letters sent to or by other Departments and

other agencies of the government indorsing a

matter/complaint/information for appropriate

action.




URL

EIPD

Disclosive/

Accessibility






Securities Regulation Code

Original Data Owner

EIPD, Complainant, Respondent, Source of

Information or Referral.

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


Page 15 of 628




Title or Full Name of Data CONFIDENTIAL REPORTS

Description of Data Reports containing confidential information




URL

EIPD Office Files and Records.

Disclosive/

Accessibility




No. For internal use only. Section 6.2 and Sec.

64.2 of the Securities Regulation Code;

Deliberative process privilege.

Original Data Owner

EIPD, Source of confidential report

Data Maintainer

SEC-EIPD

Date Released

N/A



Page 16 of 628




Title or Full Name of Data VERIFIED COMPLAINTS

Description of Data

Complaints for violations of law filed with the

Department stating facts verified by

complainant as true and correct based on

personal knowledge and/or authentic

documents.




URL

EIPD

Disclosive/

Accessibility






Securities Regulation Code.

Original Data Owner

Complainant

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


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DOCUMENTS OBTAINED BY THE SEC

THROUGH SUBPOENA OR LETTER

REQUEST FOR DOCUMENTS TO SROS,

BROKERS AND OTHER REGULATED

ENTITIES, OTHER GOVERNMENT

AGENCIES AND WITNESSES

Description of Data

Documentary evidence which includes

contracts, receipts, filled up Customer Account

Information Forms, Trade Files, Ledgers,

Invoices, Checks, STBs, Certifications, Copies

of permits or licenses, business

correspondence, etc.


File Format Paper Copy/ Certified True Copy


URL

EIPD

Disclosive/

Accessibility







Original Data Owner

EIPD, Respondent, Witnesses, SROs, Brokers

and Traders, Source of Information or Referral,

Government Agency providing certifications or

certified true copies of documents in their

custody, Account Holders.

Data Maintainer

SEC-EIPD

Date Released

N/A

Frequency of Update

N/A


Page 18 of 628




Title or Full Name of Data FINAL ORDERS

Description of Data

Orders of the Department which finally dispose

cases and dismisses a case, or directs the

payment of fine or the imposition of other

penalties provided for in the Securities

Regulation Code and other laws enforced by

the Commission.


File Format Paper Copy//Word Document


URL

Paper copy – EIPD

Disclosive/

Accessibility




Yes, accessible to the public.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released

Various years.

Frequency of Update

N/A


Page 19 of 628


Department/ Office ENFORCEMENT AND INVESTOR PROTECTION

DEPARTMENT

Title or Full Name of Data RESOLUTIONS

Description of Data

An issuance of the Department which decides or

resolves an issue raised in an action or proceeding

for the purpose of determining further appropriate

action to be taken by the Department such as the

filing of a case before the DOJ or before the

Commission En Banc.


File Format Paper Copy/


URL

Paper copy – EIPD

Disclosive/

Accessibility




No. Furnished only to the parties to an action or

proceeding before the SEC. Section 6.2 and Sec.

64.2 of the Securities Regulation Code and Section

3 [e] and [f], Rule 4 of the Rules Implementing RA

6713

Original Data Owner

EIPD.

Data Maintainer

SEC-EIPD

Date Released

Various years.

Frequency of Update

N/A


Page 20 of 628



DEPARTMENT

Title or Full Name of Data SETTLEMENT OFFERS

Description of Data

An offer of settlement that parties being investigated

or charged may propose in writing to the

Commission.




URL

Paper copy – EIPD

Disclosive/

Accessibility






Securities Regulation Code. Section 3[f][i], Rule 4 of

the Rules Implementing RA 6713

Original Data Owner

Offeror

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 21 of 628





Data

SETTLEMENT OFFERS APPROVED BY THE

COMMISSION (SETTLEMENT AGREEMENTS)

Description of Data

Agreement to settle in which the Commission

approves a settlement offer made by a party

being investigated or charged based on its

findings that such settlement is in the public

interest under the terms and conditions provided

for under the Securities Regulation Code.

Online Publication Yes. Made available on the SEC Website.

File Format Paper Copy/ PDF


URL

Paper copy – EIPD;

Electronic copy in PDF - SEC Website at

http://www.sec.gov.ph/public-information-

2/investors-education-and-information/notices/

Disclosive/

Accessibility



state reason/ legal

basis)

Yes, Accessible to the public.

Original Data Owner

EIPD, Commission En Banc

Data Maintainer

SEC-EIPD, ICTD

Date Released November 6, 2015 and other dates

Frequency of Update

N/A

http://www.sec.gov.ph/public-information-2/investors-education-and-information/notices/

http://www.sec.gov.ph/public-information-2/investors-education-and-information/notices/


Page 22 of 628



DEPARTMENT


Data ASSESSMENT REPORTS

Description of Data

An assessment of the merits of a particular case,

complaint, tip or referral based on the evidence

presented or the allegations in the complaint, tip,

or referral. It is also a determination of whether or

not based on the allegations in the complaint, tip

or referral, the Department has jurisdiction over

the subject matter thereof, or whether or not an

offense was committed. It may also recommend

an action plan in conducting an investigation when

warranted.




URL Paper copy – EIPD

Disclosive/

Accessibility



state reason/ legal

basis)


Philippines; Section 6.2 and Sec. 64.2 of the

Securities Regulation Code; Deliberative Process

Privilege.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 23 of 628



DEPARTMENT

Title or Full Name of Data INVESTIGATION REPORTS

Description of Data

A report on the investigation conducted, the

evidence gathered, witnesses interviewed, ocular

inspections made, documents obtained, results of

surveillance operations with a summary of the

findings of facts and containing a recommendation

for the termination of the case or the filing of the

appropriate criminal or administrative case.





Disclosive/

Accessibility





Philippines; Section 6.2 and Sec. 64.2 of the


Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 24 of 628



DEPARTMENT

Title or Full Name of Data OBSERVATION REPORTS

Description of Data

Reports on the proceedings and events that take

place in a meeting of stockholders or election of

directors of a corporation

Online Publication N/A.




Disclosive/

Accessibility




No. RA 10173 Sec. 13 and Sec. 3[e] and [f], Rule 4

of the Rules Implementing RA 6713

Original Data Owner

EIPD, the corporation involved, its officers,

directors, and/or stockholders.

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 25 of 628




Title or Full Name of Data HEARING REPORTS

Description of Data

Details of the proceedings in court or before the

DOJ which includes the names of the parties and

their counsel present, status of the case, nature

of the proceedings, motions or incidents filed and

acted upon, issues deliberated on, rulings and

orders issued by the Court and the date of next

hearing.





Disclosive/

Accessibility




No. Subjudice Rule. Section 3 [e] and [f][, Rule 4

of the Rules Implementing RA 6713

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A.

Frequency of Update

N/A


Page 26 of 628



DEPARTMENT

Title or Full Name of Data SUBPOENA

Description of Data

A process issued by the Commission directing a

person to appear before the Commission to testify

or bring certain documents in connection with an

on-going EIPD investigation.





Disclosive/

Accessibility




No. Section 6.2 and Sec. 64.2 of the Securities

Regulation Code.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 27 of 628



DEPARTMENT

Title or Full Name of Data MOTIONS FOR CEASE AND DESIST ORDER

Description of Data

Motion filed with the Commission En Banc through

the OGC praying for the issuance of a cease and

desist order.





Disclosive/

Accessibility





Regulation Code.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A



Page 28 of 628



DEPARTMENT

Title or Full Name of Data PETITION FOR REVOCATION

Description of Data

Petition filed with or by the EIPD for revocation of

the primary license or registration of an entity

registered with the Commission.





Disclosive/

Accessibility





Regulation Code.

Original Data Owner

EIPD.

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 29 of 628



DEPARTMENT

Title or Full Name of Data OTHER MOTIONS FILED WITH THE EN BANC

Description of Data

Motions filed by the EIPD and other parties praying

for issuance of subpoena, extension of time,

reconsideration and other motions seeking a

particular relief from the Commission en Banc in

connection with a case pending before said body.





Disclosive/

Accessibility





Regulation Code

Original Data Owner

EIPD, Filers

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 30 of 628



DEPARTMENT


COMPLAINT-AFFIDAVIT FILED WITH THE DOJ,

REPLY AFFIDAVIT, COUNTER AFFIDAVIT,

REJOINDER, SUR-REJOINDER, POSITION

PAPER

Description of Data

Pleadings filed before the DOJ in connection with a

criminal complaint for any violation of the SRC or

other laws enforced by the Commission or

provisions of the Revised Penal Code.





Disclosive/

Accessibility




No. Subjudice Rule, Sec. 3[e] Rule 4 of the

Implementing Rules of RA 6713

Original Data Owner

EIPD, Respondents and Respondent’s Counsel

Data Maintainer

SEC-EIPD, DOJ

Date Released N/A

Frequency of Update

N/A


Page 31 of 628



DEPARTMENT


MOTION TO ISSUE SUBPOENA, WARRANT OF

ARREST AND OTHER PROCESSES OF THE

COURT AND OTHER MOTIONS

Description of Data

Motions seeking relief from the Court filed by the

SEC through the Department with the conformity of

the Public Prosecutor





Disclosive/

Accessibility




No. Subjudice Rule.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD, Courts

Date Released N/A

Frequency of Update

N/A


Page 32 of 628



DEPARTMENT

Title or Full Name of Data JUDICIAL AFFIDAVIT

Description of Data

An affidavit of a witness in question and answer

form attested to under oath by the lawyer

conducting the examination that he faithfully

recorded the questions and the answers given by

the witness and that the witness was not coached

in giving his answers. The judicial affidavit is

submitted to the court to serve as the direct

examination of the witness pursuant to the Judicial

Affidavit Rule.





Disclosive/

Accessibility




No. Subjudice.Rule. Sec. 3[e], Rule 4 of the Rules

Implementing RA 6713; RA 10173 Sec. 13.

Original Data Owner

EIPD, Witness.

Data Maintainer

SEC-EIPD, Courts

Date Released N/A

Frequency of Update

N/A


Page 33 of 628



DEPARTMENT

Title or Full Name of Data MOTION FOR RECONSIDERATION

Description of Data

Motion praying that the Court or Tribunal that

issued the order or judgment to take a second look

at the evidence or the applicable law and the

arguments presented by movant and to reconsider

and reverse the decision or order earlier made or

issued.





Disclosive/

Accessibility




No. Subjudice Rule. Sec 3[e], Rule 4 of the Rules

Implementing RA 6713

Original Data Owner

EIPD, Filers.

Data Maintainer

SEC-EIPD, Courts, DOJ, OGC

Date Released N/A.

Frequency of Update

N/A


Page 34 of 628



DEPARTMENT

Title or Full Name of Data MISCELLANEOUS PLEADINGS

Description of Data Other pleadings filed by the EIPD or by the parties

in proceedings before the EIPD.





Disclosive/

Accessibility






Securities Regulation Code. Subjudice. Sec. 3[f],

Rule 4 of the Rules Implementing RA 6713

Original Data Owner

EIPD, Filers.

Data Maintainer

SEC-EIPD

Date Released N/A



Page 35 of 628



DEPARTMENT


DAILY STOCK MARKET REPORTS, STOCK

MARKET MID-DAY REPORTS, STOCK MARKET

PARTIAL REPORTS, WEEKLY MONITORING

SHEET ON LISTED ISSUES ASSIGNED

REPORTS, ANALYSIS OF TRADE FOR

POSSIBLE VIOLATION OF THE SRC

Description of Data Reports pertaining to stock market trading.





Disclosive/

Accessibility







Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A.

Frequency of Update

N/A


Page 36 of 628



DEPARTMENT

Title or Full Name of Data DOCUMENTS SUBMITTED TO MSD/EIPD

Description of Data

Documents pertaining to trading in the stock market

which includes Ledgers, CAIFs of beneficial

owners, trade files (from the PSE), CMIC Reports,

PDEX Reports, copies of Identification Cards,

Passports, and documents indicating the Tax

Identification Numbers of certain persons or entities

and other relevant information.


File Format Paper Copy – Certified True Copies



Disclosive/

Accessibility




No. Used for monitoring and detection purposes

and for establishing the identities of persons

involved in suspicious trading activities. Section 142

of the Corporation Code of the Philippines, Section


Code; Sec 3[e] and [f], Rule 4 of the Implementing

Rules of RA 6713

Original Data Owner

EIPD, Brokers, SROs, Source of Information or

Referral, Persons interviewed in connection with an

investigation being conducted, Owners or custodian

of records and documents submitted to the

regulatory authority.

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A


Page 37 of 628



DEPARTMENT


Data SHOW CAUSE LETTERS

Description of Data

Letters sent to respondents directing them to

explain why they should not be held

administratively and/or criminally liable for certain

violations of the Securities Regulation Code or

other laws enforced by the Commission





Disclosive/

Accessibility



state reason/ legal

basis)



Securities Regulation Code

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A.


Page 38 of 628





Data DRAFTS

Description of Data Drafts of letters, reports, memoranda, orders,

decisions and other papers retained in the files





Disclosive/

Accessibility


accessible to the


legal basis)



Securities Regulation Code. Deliberative

process privilege.

Original Data Owner

EIPD

Data Maintainer

SEC-EIPD

Date Released N/A

Frequency of Update

N/A.


Page 39 of 628

Agency Name OD/Economic Research and Statistics

Department/Securities and Exchange Commission

Title or Full

Data Name

Administrative and Management Records - Annual

Budget Proposals

Description of

Data

ERTD inputs to Annual SEC Budget Proposals; ERTD

Proposals for the conduct of special events organized

by the Department; ERTD Project Procurement

Management Plan submitted to the Bids and Awards

Committee for the formulation of the SEC Annual

Procurement Plan; ERTD Inputs to Annual

Procurement Plan.

Online

Publication

No.

File Format pdf

Location or

Download

URL

N.A.

Disclosive Unpublished. May be released to the public upon

written request and filing of SEC FOI Request Form

subject to clearance by the ERTD Director or higher

officials.

Original Data

Owner

SEC-ERTD

Data

Maintainer

SEC-ERTD-OD

Date Released

Frequency of

Update

Annual


Page 40 of 628



Title or Full

Data Name

Administrative and Management Records -

Department Performance Targets/Reports

Description of

Data

Periodic reports prepared by the ERTD as input to the

SEC Targets/Reports.

Online

Publication

No.

File Format pdf

Location or

Download

URL

N.A.




officials.

Original Data

Owner

SEC-ERTD

Data

Maintainer

SEC-ERTD-OD

Date Released

Frequency of

Update

Semestral, Annual


Page 41 of 628



Title or Full

Data Name

Administrative and Management Records - ERTD

Accomplishment Reports

Description of

Data

Periodic reports prepared by the ERTD as input to the

SEC Accomplishment Reports.

Online

Publication

No.

File Format pdf

Location or

Download

URL

N.A.




officials.

Original Data

Owner

SEC-ERTD

Data

Maintainer

SEC-ERTD-OD

Date Released

Frequency of

Update

Monthly, Quarterly, Annual


Page 42 of 628



Title or Full

Data Name

Administrative and Management Records -

Departmental/Interdepartmental Office Orders and

Memoranda

Description of

Data

File copies of Interdepartmental Office Orders and

Memoranda

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.




officials.

Original Data

Owner

SEC-ERTD

Data

Maintainer

SEC-ERTD-OD

Date Released

Frequency of

Update

Demand-driven


Page 43 of 628



Title or Full

Data Name

SEC Annual Publications - SEC Annual Reports

Description of

Data

Annual Report on SEC Financial and Non-Financial

Accomplishments (FY 2000-2013 Reports in custody

of ERTD OD)

Online

Publication

yes

File Format pdf

Location or

Download URL

www.sec.gov.ph

Disclosive Published

Original Data

Owner

SEC

Data

Maintainer

SEC-ERTD-SMPD/OD

Date Released

Frequency of

Update

Annual


Page 44 of 628



Title or Full

Data Name

SEC Annual Publications - Capital Market

Development Plan (CMDP) Blueprint

Description of

Data

Publication on the SEC'S blueprint for CMDP, 2005-

2010 only.

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.

Disclosive Published (printed version)

Original Data

Owner

SEC

Data

Maintainer

SEC-OD

Date Released

Frequency of

Update

Annual


Page 45 of 628

Agency Name ERSD/Economic Research and Statistics


Title or Full

Data Name

Statistics on Company Registration and Amount of

Registered Investments

Description of

Data

Cumulative Number of Registered Firms (from 1936 to

current year); Number and amount of Paid Up Capital

Investments/Contributions of Newly Registered

Domestic Stock Corporations and Partnerships, by

nationality, region and industry; Number and Amount

of Paid-up Capital Investments/Contributions in

Dissolved Stock and Partnerships; Number and

Amount of Foreign Investments in Newly Registered

Domestic Stock Corporations and Partnerships;

Compendium of statistics containing annual data on

company registration by nationality, region and

industry

Online

Publication

Yes

File Format pdf

Location or

Download URL

www.sec.gov.ph/public-information-2/registered-firms-

individuals-and-statistics/registration-and-investment-

statistics/


Original Data

Owner

SEC-ERTD

Data

Maintainer

SEC-ERTD-ERSD

Date Released

Frequency of

Update

Quarterly, Semi-Annually or Annual


Page 46 of 628



Title or Full

Data Name

Philippines' Top 1,000 Corporations

Description of

Data

Summary Tables on the Financial Performance of the

FY 2013 Top10 and Top 1,000 Corporations, by

Industry and by Region

Online

Publication

Yes

File Format pdf

Location or

Download URL

www.sec.gov.ph/public-information-2/registered-firms-

individuals-and-statistics/philippines-top-corporations


Original Data

Owner

SEC-ERTD

Data

Maintainer

ERTD-ERSD

Date Released October 2016

Frequency of

Update

Annual


Page 47 of 628



Title or Full

Data Name

Report on the Annual Ranking of the Top

Corporations, By Gross Revenue

Description of

Data

Narrative Report on the Financial Performance of the

FY 2013 Top 1,000 Corporations including Summary

tables on the Gross Revenues, Profits, Assets,

Liabilities and Equity of the 1,000, by Industry and

Regional Perfomance.

Online

Publication

No.

File Format In portable data format (pdf), MS Excel or combination

thereof

Location or

Download URL

N.A.

Disclosive Published; file may be obtained in CD-ROM at a fee:

(1) Main Report (including 11 Schedules), all in pdf file

format - PhP3,000.00; or (2) Main Report, with the

Narrative Report in pdf file and 11 Schedules in Excel

file - PhP5,000.00. Only agencies covered by a MOA

on free sharing of data may be exempted from the

payment of processing fees if so provided in the

Agreement. Other requests for free data are subject to

clearance by the Chairperson. Previous publications

are available for viewing at theSEC Library but copies

of publications may not be taken outside the premises.

Original Data

Owner

Original Data Owner


Page 48 of 628

Data

Maintainer

ERTD-ERSD


Frequency of

Update

Annual



Title or Full

Data Name

Directory of the FY 2013 Top 1,000 Corporations

Description of

Data

Listing of the FY Top 1,000 Corporations in four

formats: (1) by Gross Revenue; (2) by Company

Name; (3) by Industry; and (4) by Region.

Online

Publication

No

File Format In either pdf or combination of pdf and Excel

Location or

Download URL

N.A.

Disclosive Published; may be obtained in CD-ROM at a fee: (1)

in pdf File - PhP5,000.00; and (2) in Excel File -

PhP10,000.00. Only agencies covered by a MOA on

free sharing of data may be exempted from the

payment of processing fees if so provided in the

Agreement. Other requests for free data are subject to

clearance by the Chairperson. Previous publications

are available for viewing at the SEC Library but copies

of publications may not be taken outside the premises.


Page 49 of 628

Original Data

Owner

SEC-ERTD

Data

Maintainer

ERTD-ERSD


Frequency of

Update

Annual


Page 50 of 628



Title or Full

Data Name

Agency Inputs to External Surveys Conducted by

International Organizations

Description of

Data

The World Bank Annual Survey on Entrepreneurship

and Economic Development; IMF Survey on

Governance Practices of Financial Sertor Regulators;

IMF-WB Financial Sector Assessment Program

(FSAP)

Online

Publication

No

File Format

Location or

Download URL

N.A.

Disclosive Unpublished; Final version of the documents may be

obtained from the official publication released by the

IMF or WB.

Original Data

Owner

SEC-ERTD

Data

Maintainer

ERTD-ERSD

Date Released

Frequency of

Update

Dependent on Requests from concerned International

Organizations.


Page 51 of 628



Title or Full

Data Name

Agency Inputs to International Trade

Agreements/Economic Partnership Agreements

Description of

Data

Reproduced copy of the Agency Certificates of

Concurrence submitted as Inputs to International

Trade Agreements/Economic Partnership Agreements.

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.

Disclosive Unpublished; may be obtained upon clearance by the

ERTD Director and/or higher officials.

Original Data

Owner

SEC-ERTD

Data

Maintainer

ERTD-ERSD

Date Released

Frequency of

Update

N.A.; dependent on submission of COC to

International Free Trade Agreements/Economic

Partnership Agreements.


Page 52 of 628



Title or Full

Data Name

Inter-Agency Agreements on Data Sharing

Description of

Data

DOF-SEC MOA on Data Sharing; SEC, BSP, IC, PDIC

MOA on Exchange and Sharing of Relevant

Information and Data; SEC, BSP, GCG, IC MOA on

Other Financial Corporations Survey (OFCS)

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.

Disclosive Unpublished. Certified true copies may be obtained

from the Office of the Commission Secretary.

Original Data

Owner

SEC-ERTD

Data Maintainer ERTD-ERSD

Date Released

Frequency of

Update


Page 53 of 628



Title or Full

Data Name

Administrative and Management Records-Annual

Budget Proposals

Description of

Data

ERSD inputs to Annual SEC Budget Proposals; ERSD

Proposals for the conduct of special events organized

by the Department; Project Procurement Management

Plan submitted to the Bids and Awards Committee for

the formulation of the SEC Annual Procurement Plan;

ERSD Inputs to Annual Procurement Plan

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.




officials.

Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

Annual


Page 54 of 628



Title or Full

Data Name

Administrative and Management Records-ERSD

Performance Targets/Reports

Description of

Data

Periodic reports prepared by the ERSD as input to the

ERTD Targets/Reports.

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.




officials.

Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

Bi-Annual, Annual


Page 55 of 628



Title or Full

Data Name

Administrative and Management Records-ERSD

Accomplishment Reports

Description of

Data

Periodic report prepared by the ERSD as input to the

ERTD Accomplishment Reports.

Online

Publication

No.

File Format pdf

Location or

Download URL

N.A.




officials.

Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

Monthly, Annual


Page 56 of 628



Title or Full

Data Name

Administrative and Management Records-

Departmental/Interdepartmental Office Orders and

Memoranda

Description of

Data

File copies of Interdepartmental Office Orders and

Memoranda

Online

Publication

No

File Format pdf

Location or

Download URL

N.A.




officials.

Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

Demand-driven

Agency Name SEC-ERTD-TD-A3

Title or Full

Data Name

SEC Certification Program-Related-List of Passers


Page 57 of 628

(Certification of Examination Passers)

Description of

Data

List of passers posted on SEC Website

Online

Publication

No

File Format PDF

Location or

Download URL

Generated/Released by the assigned Technical Staff

at the SEC Information and Communications

Technology Department (ICTD) and approved by the

Director/Head of the Economic Research and Training

Department (ERTD)


Original Data

Owner

SEC-ERTD

Data Maintainer SEC-ERTD

Date Released On or before three days after the exam

Frequency of

Update

As the need arises


Page 58 of 628


Title or Full

Data Name

SEC Certification Program-Congratulatory Letter/s

Description of

Data

Certificate

Online

Publication

No

File Format Word

Location or

Download URL

Congratulatory letters and/or Notice of Ratings are

given only to the examination passers and are

necessarily not for public information but may be made

available to the public upon clearance by the ERTD

Director and/or higher officials

Disclosive Unpublished

Original Data

Owner

SEC-ERTD


Date Released Upon request

Frequency of

Update

As the need arises


Page 59 of 628


Title or Full

Data Name

SEC Certification Program-Certification Program

Examination Questions

Description of

Data

To protect the integrity of the SEC Certification

Program/s examinations, the questionnaires are not

shared with the public in view of Section 3, Rule 4 of

the Rules Implementing the Republic Act 6713, which

states that: “Every department, office or agency shall

provide official information, records or documents to

any requesting public, except if:…. (c) the information,

record or document sought falls within the concept of

established privilege or recognized exemptions as may

be provided by law or settled policy or jurisdiction”.

Online

Publication

No

File Format Word/Excel

Location or

Download URL

Examinees are not allowed to keep a copy of the

questionnaires after taking the examinations.

Information other than those available in the SEC

website may be moade available to the public upon

clearance by the SEC Committee on Financial

Examinations/ERTD


Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 60 of 628


Title or Full

Data Name

SEC Certification Program-Registration/Application

Forms of (prospective) market professionals applying

for Certification Seminars/Examinations

Description of

Data

Registration Forms-Seminars/Examination

Online

Publication

No

File Format pdf

Location or

Download URL

Only the blank forms may be accessed by the public

since the accomplished forms contain personal

information, which requires the consent of the data

subject, pursuant to the Data Privacy Act otherwise

known as RA 10173


Original Data

Owner

SEC-ERTD



Frequency of

Update

As the need arises


Page 61 of 628


Title or Full

Data Name

SEC Certification Program-Payment Assessment

Forms (PAFs)

Description of

Data

PAF required for payment of fees

Online

Publication

No

File Format

Location or

Download URL

Since original copies are kept by the payors

themselves, there is no need to seek photocopies from

ERTD. Nevertheless, requests may be accommodated

from the persons concerned or their duly authorized

representatives.


Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update


Page 62 of 628


Title or Full

Data Name

SEC Certification Program-Seminar Evaluation Forms

Description of

Data

Evaluation of conduct of seminars

Online

Publication

No


Location or

Download URL

The evaluation forms are for internal use only but may

be made available to the public upon clearance by the



Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 63 of 628


Title or Full

Data Name

SEC Certification Program

Description of

Data

To update market professionals on latest

developments/regulatory practices

Online

Publication

No

File Format Word

Location or

Download URL

These are for internal use only but may be made


Director and/or higher officials.


Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 64 of 628

Agency Name SEC-ERTD-TD-B10

Title or Full

Data Name

Handbooks and Manuals-Capital Market Training

Activities

Description of

Data

Information on Training Functions/Activities

Online

Publication

No

File Format Word

Location or

Download URL

This may be released subject to clearance by the



Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 65 of 628


Title or Full

Data Name

Handbooks and Manuals-Training Policy/Manual of

Operations

Description of

Data

Operations Manual on Training Policies

Online

Publication

No

File Format Word

Location or

Download URL

This may be released subject to clearance by the



Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 66 of 628


Title or Full

Data Name

Handbooks and Manuals-Training Handouts

Description of

Data

Online

Publication

No


Location or

Download URL

These are given only to seminar participants and

cannot be made available to the general public but may

be made available to the public upon clearance by the



Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 67 of 628

Agency Name SEC-ERTD-TD-C13

Title or Full

Data Name

Internal Communication-Office Memoranda

Description of

Data

Communications with Different Offices/Departments

Online

Publication

No

File Format Word

Location or

Download URL





Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update

As the need arises


Page 68 of 628

Agency Name SEC-ERTD-TD-C13

Title or Full

Data Name

Internal Communication-Minutes of Meetings

Description of

Data

Online

Publication

No

File Format Word

Location or

Download URL



Direector and/or higher officials.


Original Data

Owner

AO25 IATF

Data Maintainer SEC - ERTD


Frequency of

Update

As the need arises


Page 69 of 628

Agency Name SEC-ERTD-TD-D15

Title or Full

Data Name

Inputs to Policies-Inputs to the Commission-wide

Proposed Project Management Plan (PPMP)

Description of

Data

Online

Publication

No

File Format

Location or

Download URL





Original Data

Owner

SEC - ERTD



Frequency of

Update

As the need arises


Page 70 of 628

Agency Name SEC-ERTD-TD-E16

Title or Full

Data Name

Accomplishment Reports-Accomplishment Reports

Description of

Data

Online

Publication

No

File Format Word

Location or

Download URL

Division accomplishment reports are normally not made

public, unless requested by an interested party. These

periodic reports are normally produced for the main

purpose of preparing a Commission-wide

Accomplishment Report (to the public), which is

released


Original Data

Owner

SEC-ERTD


Date Released As monthly/annually

Frequency of

Update

Annually


Page 71 of 628


Title or Full

Data Name

Accomplishment Reports-Statistical Report/s on

Examination

Description of

Data

Online

Publication

No

File Format

Location or

Download URL





Original Data

Owner

SEC-ERTD


Date Released

Frequency of

Update


Page 72 of 628


Title or Full

Data Name

Accomplishment Reports-Reports to COA

Description of

Data

Online

Publication

No

File Format Word

Location or

Download URL





Original Data

Owner

SEC-ERTD



Frequency of

Update

As the need arises


Page 73 of 628

Agency Name SEC-ERTD-TD-F19

Title or Full

Data Name

Administrative/Human Resources-Performance

Commitments and Reviews (Department, Division and

Individual)

Description of

Data

Online

Publication

No

File Format Word

Location or

Download URL





Original Data

Owner

SEC-ERTD



Frequency of

Update

As the need arises


Page 74 of 628


Department/ Office BAGUIO EXTENSION OFFICE


Data

Articles of Incorporation (TIN of applicants

shall be covered by Data Privacy Act)

Description of Data Information required by the Corporation Code to be

included in the Articles of Incorporation

Online Publication

Posted on SEC I-View System

File Format Paper copy; PDF

Location or

Download URL

Paper copy - BEO;

https://ireport.sec.gov.ph/iview/index.html

Disclosive/

Accessibility


accessible to the


legal basis)

Yes; Accessible to the public

Original Data Owner

Filer

Data Maintainer SEC-BEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update As necessary


Page 75 of 628


Department/ Office BAGUIO EXTENSION OFFICE


Data By-laws

Description of Data

Information/ provisions required by the Corporation

Code to be included in the By-Laws, other data

included by filer-corporations

Online Publication



Location or

Download URL

Paper copy - BEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-BEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 76 of 628


Department/ Office

BAGUIO EXTENSION OFFICE


Articles of Partneship (TIN of applicants shall be

covered by the Data Privacy Act)

Description of Data Registration Data

Online Publication Posted on SEC I-View System

File Format Paper Copy; PDF


URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer

SEC-BEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 77 of 628


Department/ Office


Title or Full Name of Data Cover Sheets

Description of Data Cover sheets for registrations/ amendments/

GIS/ FS




URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 78 of 628


Department/ Office


Title or Full Name of Data Treasurer’s Affidavit

Description of Data Supporting document for registration




URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 79 of 628


Department/ Office


Title or Full Name of Data Affidavit to undertaking to change name

Description of Data Supporting document for registration/

amendment to change name




URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 80 of 628


Department/ Office


Title or Full Name of Data Endorsement from other government agencies


amendments




URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 81 of 628


Department/ Office


Title or Full Name of Data Certificate of Bank Deposit (for corporations

with said requirement)

Description of Data Supporting documents for registration




URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 82 of 628


Department/ Office


Title or Full Name of Data Master Deed of Condominium Project





URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 83 of 628


Department/ Office


Title or Full Name of Data Affidavit of Correction





URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 84 of 628


Department/ Office


Title or Full Name of Data Certificate of Inward Remittance





URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 85 of 628


Department/ Office



Affidavit of Source of Funds (for subscribers

who are non-resident foreign citizens)





URL

Paper Copy-BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 86 of 628


Department/ Office


Title or Full Name of Data Registration of Membership Book

Description of Data Registration date of a corporation’s membership

book and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 87 of 628


Department/ Office


Title or Full Name of Data Registration of Stock and Transfer Book

Description of Data Records of Stockholders’ Shareholdings




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 88 of 628


Department/ Office


Title or Full Name of Data Monitoring Clearance

Description of Data

Supporting Document for Amendments as

required by the Corporation Code and SEC;

Requirement for Certificate of No Derogatory

Record




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 89 of 628


Department/ Office


Title or Full Name of Data Order of Payment of Fines/ Penalties

Description of Data


required by the Corporation Code and SEC/ for

Certificate of No Derogatory Record




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 90 of 628


Department/ Office


Title or Full Name of Data Directors’/Trustees’ Certificate

Description of Data Supporting Documents for Amendments as

required by the Corporation Code and SEC




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 91 of 628


Department/ Office


Title or Full Name of Data Secretary’s Certificate of no Intra-Corporate

Dispute






URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 92 of 628


Department/ Office


Title or Full Name of Data Application for registration under the Foreign

Investment Act

Description of Data Registration Data of foreign subscribers




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 93 of 628


Department/ Office



Documentary requirements relative to the

establishment or amendment of license of

branch office, representative office, regional

headquarters, and regional operating

headquarters, like application form, board

resolution, foreign corporation’s Articles of

Incorporation or Partnership, Financial

Statements, proof of inward remittance, red

ribbon certification that foreign firm is engaged

in international trade, endorsement from

government agencies.

Description of Data

Information relative to the

registration/amendments of foreign corporation

applying for/ renewing license to do business in

the Philippines




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 94 of 628


Department/ Office



Required documents in the application for

secondary license of financing/lending

companies (TIN and other identification cards of

applicants shall be covered in accordance with

the Data Privacy Act);

Description of Data

Documentary requirements in support of the

application for Certificate of Authority

(Secondary License)




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 95 of 628


Department/ Office



General Information Sheet (TIN of applicants

shall be covered in accordance with the Data

Privacy Act);

Description of Data

Annual Report submitted by corporations with

details on corporate address; names,

addresses of members of the BOD/ BOT;

names, addresses of corporate officers; details

on shareholdings




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 96 of 628


Department/ Office


Title or Full Name of Data Statement of Sources and Application of Funds

(SSAF under MC 8, Series of 2006)

Description of Data

Annual Report submitted by foundations

indicating sources of funds, application of funds,

names of beneficiaries, projects and programs




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 97 of 628


Department/ Office


Title or Full Name of Data Certifications on Foundation Projects and

Programs (as per MC No. 8, Series of 2006).

Description of Data Part of annual reports of Foundations




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 98 of 628


Department/ Office


Title or Full Name of Data Location Maps of Financing Companies/

Lending Companies/ Foundations

Description of Data Part of reports/ requirements submitted showing

the location of their principal offices




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 99 of 628


Department/ Office


Title or Full Name of Data Financial Statements

Description of Data Annual Report on the Financial Condition and

Position of Corporations




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 100 of 628


Department/ Office


Title or Full Name of Data Notification Update Form

Description of Data Changes in certain information of Foreign

Corporations doing business in the Philippines

Online Publication Posted on SEC I-View



URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 101 of 628


Department/ Office


Title or Full Name of Data Certificate of Incorporation

Description of Data

Certificate bearing corporate name and

conditions of the grant of primary license to the

corporation, date of incorporation and issuing

SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 102 of 628


Department/ Office


Title or Full Name of Data Certificate of Filing of Amended Articles of

Incorporation

Description of Data Approval of amended articles of incorporation,

date of approval and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 103 of 628


Department/ Office


Title or Full Name of Data Certificate of Filing of By-Laws

Description of Data

Approval of adopted By-Laws, date of adoption

of the By-Laws, date of approval, issuing SEC

Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 104 of 628


Department/ Office


Title or Full Name of Data Certificate of Filing of Amended By-Laws

Description of Data

Approval of amendment/s to the By-Laws, date

of amendment/s, date of approval and the

issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 105 of 628


Department/ Office


Title or Full Name of Data Certificate of Filing of Articles of Partnership

Description of Data

Recording of the Articles of Partnership, details

of such recording, date of recording and issuing

SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 106 of 628


Department/ Office



Partnership

Description of Data

Recording of amended articles of partnership,

details of said recording, date of recording and

issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 107 of 628


Department/ Office


Title or Full Name of Data License to Transact Business in the Philippines

(for Foreign Corporations)

Description of Data

Grant of license to do business in the

Philippines (as branch/ representative office/

RHQ/ ROHQ), extent of business (purpose/s) to

be undertaken in the Philippines, date of grant

of license and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 108 of 628


Department/ Office


Title or Full Name of Data Certificate of Amendment of License

Description of Data

Approval of amendments/ changes in the

license to do business in the Philippines, date of

approval and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 109 of 628


Department/ Office


Title or Full Name of Data Certificate of Withdrawal of License

Description of Data

Grant of application for withdrawal of license to

do business in the Philippines, date of

withdrawal of license and issuing SEC Ofiice




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 110 of 628


Department/ Office


Title or Full Name of Data Certificate of Change of Resident Agent

Description of Data

Approval of petition to change resident agent,

given address of the new resident agent, date

of approval and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 111 of 628


Department/ Office


Title or Full Name of Data Certificate of Dissolution

Description of Data

Approval of amendment/s to shorten corporate

term, date of amendment/s to dissolve

corporation, date of approval and issuing SEC

Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 112 of 628


Department/ Office


Title or Full Name of Data Certificate of Increase/Decrease of Capital

Stock

Description of Data

Approval of application of increase/ decrease of

capital stock indicating amount of increase/

decrease, date of approval of said increase/

decrease and issuing SEC Office




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 113 of 628


Department/ Office


Title or Full Name of Data Certificate of Filing of Notice of Property

Dividend Declaration

Description of Data Approval of property dividend declaration




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 114 of 628


Department/ Office


Title or Full Name of Data Certificate of Approval of Valuation

Description of Data

Approval on Property Valuation pursuant to the

Corporation Code of the Philippines under

Sec.62




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 115 of 628


Department/ Office


Title or Full Name of Data Certificate of Approval of Creation of Additional

Paid-in Capital

Description of Data

Approval of documents on creation of additional

paid-up capital with specific data pertaining to

said paid-up capital




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 116 of 628


Department/ Office


Title or Full Name of Data Certificate of Authority to Operate as Financing

or Lending company

Description of Data

Approval of secondary license, grant of

authority to operate a lending/ financing

business




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 117 of 628


Department/ Office


Title or Full Name of Data Certificate of Securities Deposit

Description of Data

Approval of securities deposit constituted by

foreign corporation in compliance with the

requirements under the Corporation Code,

indicating type of securities, amount, date of

maturity thereof




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 118 of 628


Department/ Office


Title or Full Name of Data Show Cause Order/Notice of Deficiency

Description of Data

Letter sent notifying corporations of deficiencies

in/ non-compliance with SEC reportorial

requirements




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 119 of 628


Department/ Office


Title or Full Name of Data Petition for change of name, and the

corresponding Order thereto

Description of Data Petition and corresponding order granting/

denying the same




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 120 of 628


Department/ Office


Title or Full Name of Data Petition for Correction, and the corresponding

Order thereto

Description of Data

Petition filed to effect a correction in the AOI or

AAI and the corresponding SEC Order granting/

denying the same




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 121 of 628


Department/ Office


Title or Full Name of Data Certificate of No Derogatory Information

Description of Data

Certification that corporation has no pending

case with SEC and that the same is in good

standing (compliant with SEC requirements)

Online Publication None

File Format Paper Copy; Microsoft Office Word


URL

Paper copy – BEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 122 of 628


Department/ Office


Title or Full Name of Data Certificate of Corporate Status

Description of Data

Certification issued as to the status of the

corporation (active, dissolved, suspended or

revoked) and/ or whether compliant with

reportorial requirements




URL

Paper copy – BEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 123 of 628


Department/ Office



Affirmative/Negative Certification (as to the

registration/non-registration of specific

corporation or partnership)

Description of Data Certification on whether entity is registered with

SEC




URL

Paper copy – BEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 124 of 628


Department/ Office


Title or Full Name of Data Certificate as to Paid-up Capital

Description of Data

Certification on the current paid-up capital of a

corporation based on financial statements and/

or other documents on file with the SEC




URL

Paper copy – BEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 125 of 628


Department/ Office


Title or Full Name of Data Name Verification Slip

Description of Data Approved Name Reservation of

Corporation/Partnership

Online Publication Posted on SEC I-View/I-register



URL

Paper copy – BEO


www.iregister.sec.gov.ph

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 126 of 628


Department/ Office


Title or Full Name of Data Memoranda to the Commission En Banc or

Inter-Department Memoranda

Description of Data Internal memoranda among and between

different departments of the SEC including EOs




URL

Paper copy – BEO

Disclosive/

Accessibility




No, internal only in SEC as they are inter-

department correspondences not part of public

records


Data Maintainer

SEC-BEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 127 of 628


Department/ Office


Title or Full Name of Data Letter-queries and the corresponding reply

thereto

Description of Data

Letters pertaining to SEC matters and replies

thereto prepared and signed by officers/

personnel concerned




URL

Paper copy – BEO

Disclosive/

Accessibility




Yes


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 128 of 628


Department/ Office


Title or Full Name of Data Monthly Report of Disbursements (FAR No. 4)

Description of Data Report of allocations and disbursements and its

supporting vouchers/documents


File Format Paper Copy; Microsoft Office Excel


URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible (internal only to SEC, subject to

audit by COA)

RA 10173 (Data Privacy Act of 2012)


Data Maintainer

SEC-BEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 129 of 628


Department/ Office



Photocopy or Certified True Copy of Official

Receipt of SEC fees and Penalties unless there

is a written request addressed to the EO

Director signed by one of the Incorporators or

Board of Directors

Description of Data Machine copies of ORs issued by SEC to the

public




URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 130 of 628


Department/ Office


Title or Full Name of Data Bank Reports obtained from GSB

Description of Data Monthly bank statements from Land Bank of the

Philippines, Baguio Branch




URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible

RA 1405 (an Act Prohibiting Disclosure of or

inquiry into Deposits with any Banking

Institution

Original Data Owner LBP

Data Maintainer

SEC-BEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 131 of 628


Department/ Office


Title or Full Name of Data Salaries, Allowances and Deductions of SEC

Officials and Employees in General Payroll

Description of Data

Data concerning salaries, allowances and

deductions in the payroll of SEC Officials and

Employees




URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-BEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 132 of 628


Department/ Office



Disbursement Vouchers and Other Supporting

Documents for payment of agency’s Obligations

and Payables

Description of Data Vouchers and documents in support of official

expenses




URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-BEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 133 of 628


Department/ Office



Certificate of Compensation Payment/Tax

Withheld (BIRForm 2316) of SEC Officials and

Employees

Description of Data Information on withheld taxes and

compensation of SEC officials and employees


File Format Paper Copy; Windows Excel File


URL

Paper copy – BEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 134 of 628


Department/ Office


Title or Full Name of Data Investigation Reports

Description of Data

Reports on investigations undertaken by SEC

authorities/ officials/ personnel on matters/

issues within their respective jurisdictions




URL

Paper copy – BEO

Disclosive/

Accessibility




Not Accessible. Privileged communication and

are subject of pending cases/investigations


Data Maintainer

SEC-BEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 135 of 628


Department/ Office


Title or Full Name of Data Ocular Inspection Reports

Description of Data Reports on Ocular Inspections undertaken

relative to pending investigations/ cases




URL

Paper copy – BEO

Disclosive/

Accessibility




No, Not accessible. Privileged communication

and are subject of pending cases.


Data Maintainer

SEC-BEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 136 of 628


Department/ Office



Letters to parties in a case:

a) No Jurisdiction letter

b) Show Cause Letter

c) Referral Letter

d) Request Letter

e) Reply Letter

f) Show Cause Order

Description of Data Various letters sent to clients




URL

Paper copy – BEO

Disclosive/

Accessibility







Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 137 of 628


Department/ Office


Title or Full Name of Data Summons

Description of Data Summonses issued to respondents/ parties in

cases pending before the SEC




URL

Paper copy – BEO

Disclosive/

Accessibility







Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 138 of 628


Department/ Office


Title or Full Name of Data Notice of Conference

Description of Data Notices sent to parties




URL

Paper copy – BEO

Disclosive/

Accessibility







Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 139 of 628


Department/ Office


Title or Full Name of Data Subpoena

Description of Data Issued to parties in SEC cases/ investigations




URL

Paper copy – BEO

Disclosive/

Accessibility







Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 140 of 628


Department/ Office


Title or Full Name of Data Assessment Reports

Description of Data

Penalty assessment form for delinquent

corporations, for violations for which SEC/ Corp

Code prescribes penalties

Online Publication SEC I-View System



URL

Paper copy – BEO


Disclosive/

Accessibility




YES, Accessible


Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 141 of 628


Department/ Office


Title or Full Name of Data Hearings Reports

Description of Data Reports on hearings conducted for pending

cases




URL

Paper copy – BEO

Disclosive/

Accessibility







Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 142 of 628


Department/ Office



Petition for Cancellation of Amended Articles of

Incorporation or Amended By-Laws, and the

Corresponding Orders therefor

Description of Data

Petitions filed with SEC for the cancellation of

AOI/ BL for grounds therein cited, and the

corresponding Orders therefor




URL

Paper copy – BEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO, CRMD

Date Released

Various years

Frequency of Update

As necessary


Page 143 of 628


Department/ Office


Title or Full Name of Data Petition to Set Aside Orders of Revocation/

Suspension

Description of Data

Petitions filed with SEC for setting aside of

Orders of Revocation/ Suspension (received in

EOs but forwarded to OGC)




URL

Paper copy – BEO

(copies transmitted to OGC)

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-BEO, OGC

Date Released

Various years

Frequency of Update

As necessary


Page 144 of 628


Department/ Office CAGAYAN DE ORO EXTENSION OFFICE


Data





Online Publication



Location or

Download URL

Paper copy - CDOEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-CDOEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 145 of 628


Department/ Office CAGAYAN DE ORO EXTENSION OFFICE


Data By-laws

Description of Data




Online Publication



Location or

Download URL

Paper copy - CDOEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-CDOEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 146 of 628


Department/ Office

CAGAYAN DE ORO EXTENSION OFFICE








URL

Paper copy – CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer

SEC-CDOEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 147 of 628


Department/ Office




GIS/ FS




URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 148 of 628


Department/ Office







URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 149 of 628


Department/ Office








URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 150 of 628


Department/ Office




amendments




URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 151 of 628


Department/ Office








URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 152 of 628


Department/ Office







URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 153 of 628


Department/ Office







URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 154 of 628


Department/ Office







URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 155 of 628


Department/ Office









URL

Paper Copy-CDOEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 156 of 628


Department/ Office








URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 157 of 628


Department/ Office







URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 158 of 628


Department/ Office



Description of Data



Certificate of No Derogatory Record/Voluntary

request from filer for monitoring

Online Publication



URL


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

SEC

Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 159 of 628


Department/ Office



Directors’/Trustees’ Certificate (TIN of

applicants shall be covered by Data Privacy

Act)






URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 160 of 628


Department/ Office



Dispute






URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 161 of 628


Department/ Office



Investment Act





URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 162 of 628


Department/ Office








Description of Data



(Secondary License)




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 163 of 628


Department/ Office





Privacy Act);

Description of Data





on shareholdings




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 164 of 628


Department/ Office


Title or Full Name of Data Sworn Statement of Sources and Application of

Funds (SSSAF under MC 8, Series of 2006)

Description of Data







URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 165 of 628


Department/ Office








URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 166 of 628


Department/ Office









URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 167 of 628


Department/ Office








URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 168 of 628


Department/ Office



Description of Data




SEC Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 169 of 628


Department/ Office



Incorporation






URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 170 of 628


Department/ Office



Description of Data



Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 171 of 628


Department/ Office



Description of Data



issuing SEC Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 172 of 628


Department/ Office



Description of Data



SEC Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 173 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 174 of 628


Department/ Office



Description of Data




Office




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 175 of 628


Department/ Office



Stock

Description of Data








URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 176 of 628


Department/ Office








URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 177 of 628


Department/ Office



Description of Data



Sec.62




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 178 of 628


Department/ Office



Paid-in Capital

Description of Data







URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 179 of 628


Department/ Office



or Lending company

Description of Data



business




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 180 of 628


Department/ Office


Title or Full Name of Data Certificate of Securities Deposit (N.A.)

Description of Data





maturity thereof

Online Publication

File Format


URL

Disclosive/

Accessibility





Data Maintainer

SEC-CDOEO do not issue Certificate of

Security Deposit, we only receive the security

deposit per assessment from SEC-CRMD.

Date Released

Various years

Frequency of Update

As necessary


Page 181 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 182 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 183 of 628


Department/ Office





denying the same




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 184 of 628


Department/ Office



Order thereto

Description of Data



denying the same




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 185 of 628


Department/ Office



Description of Data







URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 186 of 628


Department/ Office



Description of Data








URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 187 of 628


Department/ Office







SEC




URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 188 of 628


Department/ Office



Description of Data







URL


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 189 of 628


Department/ Office








URL




Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 190 of 628


Department/ Office









URL


Disclosive/

Accessibility






records


Data Maintainer

SEC-CDOEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 191 of 628


Department/ Office



thereto

Description of Data



personnel concerned




URL


Disclosive/

Accessibility




Yes


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 192 of 628


Department/ Office








URL


Disclosive/

Accessibility





audit by COA)



Data Maintainer

SEC-CDOEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 193 of 628


Department/ Office







Board of Directors


public




URL


Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 194 of 628


Department/ Office



Description of Data

Monthly bank statements from Land Bank of the

Philippines, Capistrano Branch, Cagayan de

Oro City




URL


Disclosive/

Accessibility




Not accessible



Institution


Data Maintainer

SEC-CDOEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 195 of 628


Department/ Office




Description of Data



Employees




URL


Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-CDOEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 196 of 628


Department/ Office





and Payables


expenses




URL


Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-CDOEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 197 of 628


Department/ Office




Withheld (BIRForm 2316) of SEC Officials and

Employees






URL

Paper copy –CDOEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 198 of 628


Department/ Office








URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 199 of 628


Department/ Office






c) Referral Letter

d) Request Letter

e) Reply Letter

f) Show Cause Order





URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 200 of 628


Department/ Office








URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 201 of 628


Department/ Office







URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 202 of 628


Department/ Office







URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 203 of 628


Department/ Office



Description of Data





File Format Paper Copy;PDF


URL



Disclosive/

Accessibility




YES, Accessible


Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 204 of 628


Department/ Office




cases




URL


Disclosive/

Accessibility







Data Maintainer

SEC-CDOEO

Date Released

Various years

Frequency of Update

As necessary


Page 205 of 628


Department/ Office



Petition for Cancellation of Amended Articles of

Incorporation or Amended By-Laws, and the

Corresponding Orders thereof

Description of Data



corresponding Orders thereof




URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO, CRMD

Date Released

Various years

Frequency of Update

As necessary


Page 206 of 628


Department/ Office



Suspension

Description of Data







URL



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-CDOEO, OGC

Date Released

Various years

Frequency of Update

As necessary


Page 207 of 628

AGENCY INFORMATION INVENTORY


Department/ Office Cebu Extension Office


Data

Article of Incorporation and By –Laws (TIN of applicants shall be covered in accordance with the Data Privacy Act)

Description of Data


File Format Paper copy with watermarks

Location or

Download URL

Paper Copy- SEC CEO or


Disclosive Yes; Accessible to the public


Data Maintainer SEC-CEO and SEC-ICTD

Date Released

Various years



Page 208 of 628




Data Articles of Partnership (TIN of applicants shall be covered in accordance with the Data Privacy Act)

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 209 of 628




Data Other documents supporting the application for registration

Description of Data

Cover Sheet, Name Verification Slip, Treasurer’s Affidavit, Affidavit to Change Name, Endorsement from other government agencies, clearance from other departments of the SEC, certificate of bank deposit, master deed of condominium project, affidavit of affirmation , and other documentary requirements if payment of stocks is not through cash



Location or

Download URL






Date Released

Various years



Page 210 of 628




Data Registration of Stock and Transfer Book

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 211 of 628




Data Amended Articles of Incorporation and Amended By-Laws

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 212 of 628



Title or Full Name of Data Documentary requirements for amendment of Articles and By-Laws

Description of Data

Directors’/Trustees’ Certificate, Secretary’s

Certificate of No Intra-Corporate Dispute,

Monitoring Clearance/Certificate of Payment,

Treasurer’s Affidavit




URL






Date Released

Various years



Page 213 of 628




Data Application for registration under the Foreign Investment Act

Description of Data


File Format Paper copy

Location or

Download URL


http://www.sec.gov.ph/forms-and-fees/primary-

registration/




Date Released

Various years



Page 214 of 628


Page 215 of 628




Data

Documentary requirements relative to the establishment or amendment of license of branch office and representative office

Description of Data

Application form, foreign corporation’s articles of

incorporation or partnership, financial statements,

proof of inward remittance, red ribbon certification

that foreign firm is engaged in international trade,

endorsement from government agencies;

Online Publication Posted on SEC Website & SEC-iView


Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 216 of 628




Data

Required documents in the application for secondary license of financing/lending companies, and investment company (TIN and other identification cards of applicants shall be covered in accordance with the Data Privacy Act);

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 217 of 628




Data

General Information Sheet (TIN of applicants shall be covered in accordance with the Data Privacy Act);

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 218 of 628




Data

Financial Statement

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 219 of 628




Data Notification Update Form

Description of Data


File Format Paper Copy; MS Excel

Location or

Download URL

Paper Copy - SEC CEO or





Date Released

Various years

Frequency of Update

As necessary


Page 220 of 628




Data

Certificate of Incorporation

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 221 of 628




Data

Certificate of Filing of Amended Articles of

Incorporation

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 222 of 628




Data

Certificate of Incorporation

Description of Data



Location or

Download URL



Disclosive




Date Released

Various years

Frequency of Update

As necessary


Page 223 of 628




Data Certificate of Filing of By-Laws

Description of Data



Location or

Download URL






Date Released

Various years

Frequency of Update

As necessary


Page 224 of 628




Data Certificate of Filing of Amended By-Laws

Description of Data



Location or

Download URL Paper Copy- SEC CEO or





Date Released

Various years

Frequency of Update

As necessary


Page 225 of 628




Data Certificate of Filing of Articles of Partnership

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 226 of 628




Data


Partnership

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 227 of 628




Data

Certificate of Registration and License of Foreign

Corporations

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 228 of 628




Data Certificate of Amendment of License

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 229 of 628




Data Certificate of Withdrawal of License

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 230 of 628




Data Certificate of Change of Resident Agent

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 231 of 628




Data


Incorporation/By-Laws

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 232 of 628




Data Certificate of Dissolution

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 233 of 628




Data Certificate of Increase/Decrease of Capital Stock

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 234 of 628




Data Certificate of Filing of Voting Trust Agreement

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 235 of 628




Data Certificate of Approval of Equity Restructuring

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 236 of 628




Data

Certificate of Filing the Notice of Property Dividend

Declaration

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 237 of 628




Data Certificate of Approval of Valuation

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 238 of 628




Data

Certificate of Approval of Creation of Additional

Paid-in Capital

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 239 of 628




Data

Certificate of Authority to Operate as Financing or

Lending company

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 240 of 628




Data

Petition for Lifting Order of Revocation or

suspension, and the corresponding Order thereto

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 241 of 628




Data Show Cause Order/Notice of Deficiency

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 242 of 628




Data

Petition for Revocation, and the corresponding

Order thereto

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 243 of 628




Data Order Marking the General Information Sheet

Description of Data



Location or






Date Released

Various years

Frequency of Update

As necessary


Page 244 of 628




Data Certificate of Corporate Status

Description of Data



Location or

Download URL Paper Copy- SEC CEO



Data Maintainer SEC-CEO

Date Released

Various years

Frequency of Update

As necessary


Page 245 of 628




Data


registration/non-registration of specific corporation

or partnership)

Description of Data



Location or





Date Released

Various years

Frequency of Update

As necessary


Page 246 of 628




Data Certification as to Paid-up Capital

Description of Data



Location or





Date Released

Various years

Frequency of Update

As necessary


Page 247 of 628




Data Name Verification Slip

Description of Data



Location or





Date Released

Various years

Frequency of Update

As necessary


Page 248 of 628




Data

Memorandums to the Commission En Banc or

Inter-department/Inter-division Memorandums;

Description of Data



Location or


Disclosive Not Accessible



Date Released

Various years

Frequency of Update

As necessary


Page 249 of 628




Data

Letter-queries, and the corresponding reply

thereto, except if the same falls under the

requisites of the right to privacy of correspondence.

Description of Data



Location or


Disclosive Yes ; Accessible to the public



Date Released

Various years

Frequency of Update

As necessary


Page 250 of 628




Data Certificate of No Derogatory Information

Description of Data



Location or





Date Released

Various years

Frequency of Update

As necessary


Page 251 of 628


Department/ Office ILOILO EXTENSION OFFICE


Data





Online Publication



Location or

Download URL

Paper copy - IEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer

SEC-IEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years




Page 252 of 628


Department/ Office ILOILO EXTENSION OFFICE


Data By-laws

Description of Data




Online Publication



Location or

Download URL

Paper copy - IEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer


Date Released

Various years




Page 253 of 628


Department/ Office

ILOILO EXTENSION OFFICE


Articles of Partnership (TIN of applicants

shall be covered by the Data Privacy Act)





URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible to the public

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 254 of 628


Department/ Office




GIS/ FS




URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 255 of 628


Department/ Office







URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 256 of 628


Department/ Office


Title or Full Name of Data Affidavit of undertaking to change name






URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 257 of 628


Department/ Office


Title or Full Name of Data Endorsement from other government

agencies


amendments




URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 258 of 628


Department/ Office








URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 259 of 628


Department/ Office







URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 260 of 628


Department/ Office







URL

Paper Copy-IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 261 of 628


Department/ Office








URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 262 of 628


Department/ Office







URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 263 of 628


Department/ Office

IEO EXTENSION OFFICE


Description of Data





Online Publication



URL Paper copy – IEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 264 of 628


Department/ Office





Act)






URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 265 of 628


Department/ Office





Act)






URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 266 of 628


Department/ Office


Title or Full Name of Data Application for registration under the

Foreign Investment Act





URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner Filer

Data Maintainer SEC-IEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary



Page 267 of 628


Department/ Office











ribbon certification that foreign firm is

engaged in international trade, endorsement

from government agencies.

Description of Data




the Philippines




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 268 of 628


Department/ Office





companies (TIN and other identification

cards of applicants shall be covered in

accordance with the Data Privacy Act);

Description of Data



(Secondary License)




URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 269 of 628


Department/ Office




shall be covered in accordance with the

Data Privacy Act);

Description of Data





on shareholdings




URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 270 of 628


Department/ Office



Sworn Statement of Sources and

Application of Funds (SSSAF under MC 8,

Series of 2006)

Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 271 of 628


Department/ Office








URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 272 of 628


Department/ Office








URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 273 of 628


Department/ Office








URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 274 of 628


Department/ Office



Description of Data




SEC Office




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 275 of 628


Department/ Office



Incorporation






URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 276 of 628


Department/ Office



Description of Data



Office




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 277 of 628


Department/ Office



Description of Data



issuing SEC Office




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary



Page 278 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 279 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL

Paper copy – IEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 280 of 628


Department/ Office


Title or Full Name of Data License to Transact Business in the

Philippines (for Foreign Corporations)

Description of Data









URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 281 of 628


Department/ Office



Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 282 of 628


Department/ Office



Description of Data



withdrawal of license and issuing SEC Office




URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 283 of 628


Department/ Office



Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 284 of 628


Department/ Office



Description of Data




Office




URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 285 of 628


Department/ Office



Stock

Description of Data








URL

Paper copy – IEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 286 of 628


Department/ Office








URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 287 of 628


Department/ Office



Description of Data



Sec.62




URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 288 of 628


Department/ Office


Title or Full Name of Data Certificate of Approval of Creation of

Additional Paid-in Capital

Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 289 of 628


Department/ Office


Title or Full Name of Data Certificate of Authority to Operate as

Financing or Lending company

Description of Data



business




URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 290 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 291 of 628


Department/ Office





denying the same




URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 292 of 628


Department/ Office


Title or Full Name of Data Petition for Correction, and the


Description of Data



denying the same




URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 293 of 628


Department/ Office



Description of Data







URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 294 of 628


Department/ Office



Description of Data








URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 295 of 628


Department/ Office







SEC




URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 296 of 628


Department/ Office



Description of Data







URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 297 of 628


Department/ Office








URL

Paper copy – IEO



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 298 of 628


Department/ Office









URL

Paper copy – IEO

Disclosive/

Accessibility






records


Data Maintainer

SEC-IEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 299 of 628


Department/ Office



thereto

Description of Data



personnel concerned




URL

Paper copy – IEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 300 of 628


Department/ Office


Title or Full Name of Data Monthly Report of Disbursements (FAR No.

4)






URL

Paper copy – IEO

Disclosive/

Accessibility





audit by COA)



Data Maintainer

SEC-IEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 301 of 628


Department/ Office




Receipt of SEC fees and Penalties unless

there is a written request addressed to the

EO Director signed by one of the

Incorporators or Board of Directors


public





Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 302 of 628


Department/ Office




Philippines, ILOILO Branch





Disclosive/

Accessibility




Not accessible



Institution


Data Maintainer

SEC-IEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 303 of 628


Department/ Office




Description of Data



Employees





Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-IEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 304 of 628


Department/ Office



Disbursement Vouchers and Other

Supporting Documents for payment of

agency’s Obligations and Payables


expenses





Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-IEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 305 of 628


Department/ Office




Withheld (BIR Form 2316) of SEC Officials

and Employees







Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 306 of 628


Department/ Office



Description of Data








Disclosive/

Accessibility







Data Maintainer

SEC-IEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 307 of 628


Department/ Office









Disclosive/

Accessibility







Data Maintainer

SEC-IEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 308 of 628


Department/ Office




g) No Jurisdiction letter

h) Show Cause Letter

i) Referral Letter

j) Request Letter

k) Reply Letter

l) Show Cause Order






Disclosive/

Accessibility







Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 309 of 628


Department/ Office









Disclosive/

Accessibility







Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 310 of 628


Department/ Office








Disclosive/

Accessibility







Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 311 of 628


Department/ Office








Disclosive/

Accessibility







Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 312 of 628


Department/ Office



Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary



Page 313 of 628


Department/ Office


Title or Full Name of Data Hearing Reports


cases





Disclosive/

Accessibility







Data Maintainer

SEC-IEO

Date Released

Various years

Frequency of Update

As necessary


Page 314 of 628


Department/ Office



Petition for Cancellation of Amended

Articles of Incorporation or Amended By-

Laws, and the Corresponding Orders thereof

Description of Data



corresponding Orders thereof




URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer

SEC-IEO, CRMD

Date Released

Various years

Frequency of Update

As necessary


Page 315 of 628


Department/ Office



Suspension

Description of Data







URL

Paper copy – IEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-IEO, OGC

Date Released

Various years

Frequency of Update

As necessary


Page 316 of 628


Department/ Office

DAVAO EXTENSION OFFICE








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer

SEC-DEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 317 of 628


Department/ Office




GIS/ FS




URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 318 of 628


Department/ Office







URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 319 of 628


Department/ Office








URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 320 of 628


Department/ Office




amendments




URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 321 of 628


Department/ Office








URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 322 of 628


Department/ Office







URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 323 of 628


Department/ Office







URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 324 of 628


Department/ Office







URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 325 of 628


Department/ Office









URL

Paper Copy-DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 326 of 628


Department/ Office








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 327 of 628


Department/ Office







URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 328 of 628


Department/ Office

DEO EXTENSION OFFICE


Description of Data





Online Publication



URL

Paper copy – DEO

Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

SEC

Data Maintainer

SEC-DEO

Date Released

Various years

Frequency of Update

As necessary


Page 329 of 628


Department/ Office





Act)






URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 330 of 628


Department/ Office



Dispute






URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 331 of 628


Department/ Office



Investment Act





URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 332 of 628


Department/ Office














Description of Data




the Philippines




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary




Page 333 of 628

Department/ Office







Description of Data



(Secondary License)




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 334 of 628


Department/ Office





Privacy Act);

Description of Data





on shareholdings




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Department/ Office



Page 335 of 628



Description of Data







URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 336 of 628


Department/ Office








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 337 of 628


Department/ Office









URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 338 of 628


Department/ Office








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 339 of 628


Department/ Office








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 340 of 628


Department/ Office



Description of Data




SEC Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 341 of 628


Department/ Office



Incorporation






URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 342 of 628


Department/ Office



Description of Data



Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 343 of 628


Department/ Office



Description of Data



issuing SEC Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 344 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 345 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 346 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 347 of 628


Department/ Office


Title or Full Name of Data License to Transact Business in the Philippines

(for Foreign Corporations)

Description of Data









URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 348 of 628


Department/ Office



Description of Data







URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 349 of 628


Department/ Office



Description of Data



withdrawal of license and issuing SEC Ofiice




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 350 of 628


Department/ Office



Description of Data







URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 351 of 628


Department/ Office



Description of Data




Office




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 352 of 628


Department/ Office



Stock

Description of Data








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 353 of 628


Department/ Office








URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 354 of 628


Department/ Office



Description of Data



Sec.62




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 355 of 628


Department/ Office



Paid-in Capital

Description of Data







URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 356 of 628


Department/ Office



or Lending company

Description of Data



business




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 357 of 628


Department/ Office


Title or Full Name of Data Certificate of Securities Deposit (N.A.)

Description of Data





maturity thereof

Online Publication

File Format


URL

Disclosive/

Accessibility





Data Maintainer

SEC-DEO do not issue Certificate of Security

Deposit, we only receive the security deposit

per assessment from SEC-CRMD.

Date Released

Various years

Frequency of Update

As necessary


Page 358 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL

Paper copy – DEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-DEO

Date Released

Various years

Frequency of Update

As necessary


Page 359 of 628


Department/ Office





denying the same




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 360 of 628


Department/ Office



Order thereto

Description of Data



denying the same




URL

Paper copy – DEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 361 of 628


Department/ Office



Description of Data







URL

Paper copy – DEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-DEO

Date Released

Various years

Frequency of Update

As necessary


Page 362 of 628


Department/ Office



Description of Data







URL

Paper copy – DEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-DEO

Date Released

Various years

Frequency of Update

As necessary


Page 363 of 628


Department/ Office LEGAZPI EXTENSION OFFICE


Data





Online Publication



Location or

Download URL

Paper copy - LEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-LEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 364 of 628


Department/ Office LEGAZPI EXTENSION OFFICE


Data By-laws

Description of Data




Online Publication



Location or

Download URL

Paper copy - LEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-LEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 365 of 628


Department/ Office

LEGAZPI EXTENSION OFFICE








URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer

SEC-LEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 366 of 628


Department/ Office




FS




URL

Paper Copy-LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 367 of 628


Department/ Office







URL

Paper Copy-LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 368 of 628


Department/ Office








URL

Paper Copy-LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 369 of 628


Department/ Office




amendments




URL

Paper Copy-LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 370 of 628


Department/ Office








URL

Paper Copy-LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Frequency of Update

As necessary


Page 371 of 628


Department/ Office








URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 372 of 628


Department/ Office







URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 373 of 628


Department/ Office



Description of Data





Online Publication



URL

Paper copy – LEO

Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

SEC

Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 374 of 628


Department/ Office





Act)






URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 375 of 628


Department/ Office



Dispute






URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 376 of 628


Department/ Office




Description of Data







URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 377 of 628


Department/ Office








URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 378 of 628


Department/ Office









URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 379 of 628


Department/ Office








URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 380 of 628


Department/ Office



Description of Data




SEC Office




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 381 of 628


Department/ Office



Incorporation






URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 382 of 628


Department/ Office



Description of Data



Office




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 383 of 628


Department/ Office



Description of Data



issuing SEC Office




URL

Paper copy –LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 384 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 385 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 386 of 628


Department/ Office



Description of Data




Office




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 387 of 628


Department/ Office


Title or Full Name of Data Certificate of Increase

Description of Data








URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 388 of 628


Department/ Office



or Lending company

Description of Data



business




URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 389 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL

Paper copy – LEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 390 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL

Paper copy – LEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 391 of 628


Department/ Office


Title or Full Name of Data Certification as to Paid-up Capital

Description of Data







URL

Paper copy – LEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 392 of 628


Department/ Office








URL

Paper copy – LEO



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 393 of 628


Department/ Office









URL

Paper copy – LEO

Disclosive/

Accessibility






records


Data Maintainer

SEC-LEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 394 of 628


Department/ Office



thereto

Description of Data



personnel concerned




URL

Paper copy – LEO

Disclosive/

Accessibility




Yes


Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 395 of 628


Department/ Office








URL

Paper copy – LEO

Disclosive/

Accessibility





audit by COA)



Data Maintainer

SEC-LEO / COA/ SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 396 of 628


Department/ Office







Board of Directors


public




URL

Paper copy – LEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 397 of 628


Department/ Office


Title or Full Name of Data Bank Reports


Philippines, Legazpi City Branch




URL

Paper copy – LEO

Disclosive/

Accessibility




Not accessible



Institution


Data Maintainer

SEC-LEO/ COA /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 398 of 628


Department/ Office




Description of Data



Employees




URL

Paper copy – LEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-LEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 399 of 628


Department/ Office





and Payables


expenses




URL

Paper copy – LEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-LEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 400 of 628


Department/ Office




Withheld (BIR Form 2316) of SEC Officials and

Employees






URL

Paper copy – LEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 401 of 628


Department/ Office



Description of Data







URL

Paper copy – LEO

Disclosive/

Accessibility







Data Maintainer

SEC-LEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 402 of 628


Department/ Office








URL

Paper copy – LEO

Disclosive/

Accessibility







Data Maintainer

SEC-LEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 403 of 628


Department/ Office







URL

Paper copy – LEO

Disclosive/

Accessibility







Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 404 of 628


Department/ Office



Description of Data







URL

Paper copy – LEO


Disclosive/

Accessibility




YES, Accessible


Data Maintainer

SEC-LEO

Date Released

Various years

Frequency of Update

As necessary


Page 405 of 628


Department/ Office



Suspension

Description of Data







URL

Paper copy – LEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-EO, OGC

Date Released

Various years

Frequency of Update

As necessary


Page 406 of 628



Data

Registration Data Sheet (TIN, Date of birth of


Act)

Description of Data

SEC-LEO internal Source of data such as TIN,

date of birth(age of shareholders), citizenship,

officers, shareholdings, office address, industry

code and other information about the corporation.

Online Publication


Location or

Download URL

Paper copy – SEC-LEO;


Disclosive/

Accessibility


accessible to the


legal basis)

Yes; internally accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update


Page 407 of 628


Department/ Office

TARLAC CITY EXTENSION OFFICE


Description of Data




SEC Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 408 of 628


Department/ Office TARLAC CITY EXTENSION OFFICE


Data





Online Publication



Location or

Download URL

Paper copy - TCEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-TCEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 409 of 628


Department/ Office TARLAC CITY EXTENSION OFFICE


Data By-laws

Description of Data




Online Publication



Location or

Download URL

Paper copy - TCEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer SEC-TCEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 410 of 628


Department/ Office









URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 411 of 628


Department/ Office




GIS/ FS




URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 412 of 628


Department/ Office







URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 413 of 628


Department/ Office








URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 414 of 628


Department/ Office




amendments




URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 415 of 628


Department/ Office








URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 416 of 628


Department/ Office







URL

Paper Copy-TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filers

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 417 of 628


Department/ Office







URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 418 of 628


Department/ Office



Description of Data





Online Publication



URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

SEC

Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 419 of 628


Department/ Office





Act)






URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 420 of 628


Department/ Office



Dispute






URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 421 of 628


Department/ Office



Investment Act





URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 422 of 628


Department/ Office



Investment Act





URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 423 of 628


Department/ Office














Description of Data




the Philippines




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years



Page 424 of 628


Department/ Office








Description of Data



(Secondary License)




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 425 of 628


Department/ Office





Privacy Act);

Description of Data





on shareholdings




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 426 of 628


Department/ Office




Description of Data







URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 427 of 628


Department/ Office








URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 428 of 628


Department/ Office









URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 429 of 628


Department/ Office








URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 430 of 628


Department/ Office



Incorporation






URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 431 of 628


Department/ Office



Description of Data



Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 432 of 628


Department/ Office



Description of Data



issuing SEC Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 433 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 434 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 435 of 628


Department/ Office



Description of Data




Office




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 436 of 628


Department/ Office



Stock

Description of Data








URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 437 of 628


Department/ Office








URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 438 of 628


Department/ Office



Paid-in Capital

Description of Data







URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 439 of 628


Department/ Office


Title or Full Name of Data Certificate of Authority to Operate as Lending

company

Description of Data Approval of secondary license, grant of

authority to operate a lending business




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 440 of 628


Department/ Office



Description of Data



requirements

Online Publication



URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 441 of 628


Department/ Office





denying the same




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 442 of 628


Department/ Office



Order thereto

Description of Data



denying the same




URL

Paper copy – TCEO


Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 443 of 628


Department/ Office



Description of Data







URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 444 of 628


Department/ Office



Description of Data








URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 445 of 628


Department/ Office







SEC




URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 446 of 628


Department/ Office



Description of Data







URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 447 of 628


Department/ Office








URL

Paper copy – TCEO



Disclosive/

Accessibility




Yes, Accessible


Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 448 of 628


Department/ Office









URL

Paper copy – TCEO

Disclosive/

Accessibility






records


Data Maintainer

SEC-TCEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 449 of 628


Department/ Office



thereto

Description of Data



personnel concerned




URL

Paper copy – TCEO

Disclosive/

Accessibility




Yes


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 450 of 628


Department/ Office








URL

Paper copy – TCEO

Disclosive/

Accessibility





audit by COA)



Data Maintainer

SEC-TCEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 451 of 628


Department/ Office







Board of Directors


public




URL

Paper copy – TCEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 452 of 628


Department/ Office




Philippines, TARLAC CITY Branch




URL

Paper copy – TCEO

Disclosive/

Accessibility




Not accessible



Institution


Data Maintainer

SEC-TCEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 453 of 628


Department/ Office




Description of Data



Employees




URL

Paper copy – TCEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-TCEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 454 of 628


Department/ Office





and Payables


expenses




URL

Paper copy – TCEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-TCEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 455 of 628


Department/ Office




Withheld (BIR Form 2316) of SEC Officials and

Employees






URL

Paper copy – TCEO

Disclosive/

Accessibility




Not accessible



Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 456 of 628


Department/ Office



Description of Data







URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 457 of 628


Department/ Office








URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO, EIPD/ OGC

Date Released

Various years

Frequency of Update

As necessary


Page 458 of 628


Department/ Office






c) Referral Letter

d) Request Letter

e) Reply Letter

f) Show Cause Order





URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 459 of 628


Department/ Office








URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 460 of 628


Department/ Office







URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 461 of 628


Department/ Office







URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 462 of 628


Department/ Office



Description of Data







URL

Paper copy – TCEO


Disclosive/

Accessibility




YES, Accessible


Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 463 of 628


Department/ Office




cases




URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 464 of 628


Department/ Office




cases




URL

Paper copy – TCEO

Disclosive/

Accessibility







Data Maintainer

SEC-TCEO

Date Released

Various years

Frequency of Update

As necessary


Page 465 of 628


Department/Office TARLAC CITY EXTENSION OFFICE


Disbursement Vouchers and Other Supporting Documents for payment

Description of Data Entity Name

Fund Cluster

Mode of Payment

Date

Disbursement Voucher Number

Name of Creditor

Address

TIN/Employee No.

Articular

Responsibility Center

Amount

Certification of Cash Availability

Approved for Payment

Online Publication n/a

File format hard copy

Location or Download URL

Available printed copy

Disclosive/Accessibility (If not disclosable/ accessible to the public, state reason/legal basis)

Not Accessible to the public but can provide a Certified True Copy of the Disbursement Voucher through a written request


Data Maintainer SEC-TCEO/COA/Accounting Division

Date Released Various Years



Page 466 of 628


Department/Office TARLAC CITY EXTENSION OFFICE


GSIS, PHIC, HDMF numbers of SEC officials and

Employees (Remittance)

Description of Data Name of Employees

Member’s Identification Number

Birthday

Amount Due






Not Available due to Member’s Identification Number indicated to the remittances that might use by others.


Data Maintainer SEC-TECO / COA /Accounting Division


Frequency of Update Yearly


Page 467 of 628


Department/ Office ZAMBOANGA EXTENSION OFFICE


Data





Online Publication



Location or

Download URL

Paper copy - ZEO;


Disclosive/

Accessibility


accessible to the


legal basis)

Accessible to the public


Data Maintainer

SEC-ZEO, CRMD, ICTD

Date Released

Various years



Page 468 of 628


Department/ Office ZAMBOANGA EXTENSION OFFICE


Data By-laws

Description of Data

Provisions required by the Corporation Code to be

included in the By-Laws and other data included by

the filer.

Online Publication



Location or

Download URL

Paper copy - ZEO;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer

Data Maintainer

SEC-ZEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years



Page 469 of 628


Department/ Office

ZAMBOANGA EXTENSION OFFICE


Articles of Partnership (TIN of applicants shall

be covered by the Data Privacy Act)





URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer

SEC-ZEO, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 470 of 628


Department/ Office



Cover Sheet

Description of Data

Cover sheet for new registration/amendments/

GIS, FS, ANO, Interim FS, Foundation

Requirements and other reportorial

requirements




URL

Paper Copy-ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer

SEC-ZEO, CRMD and ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 471 of 628


Department/ Office



Description of Data Supporting document for new registration of

stock corporation




URL

Paper Copy-ZEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 472 of 628


Department/ Office


Title or Full Name of Data Affidavit of undertaking to change name

Description of Data Supporting document for new registration of

corporation/amendment to change name




URL

Paper Copy-ZEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 473 of 628


Department/ Office



Endorsement from other government

agencies

Description of Data Supporting document for new registration and

amendment




URL

Paper Copy-ZEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 474 of 628


Department/ Office








URL

Paper Copy-ZEO


Disclosive/

Accessibility






Data Maintainer SEC-ZEO, CRMD and ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 475 of 628


Department/ Office



Affidavit of Correction





URL

Paper Copy-ZEO


Disclosive/

Accessibility






Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 476 of 628


Department/ Office








URL

Paper copy – ZEO


Disclosive/

Accessibility






Data Maintainer SEC-ZEO, CRMD and ICTD

Date Released

Various years

Frequency of Update

As necessary


Page 477 of 628


Department/ Office







URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 478 of 628


Department/ Office


Title or Full Name of Data Monitoring Clearance

Description of Data


required by the Corporation Code and SEC;

Requirement for Certificate of No Derogatory

Record




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 479 of 628


Department/ Office


Title or Full Name of Data Order/Confirmation of Payment of Fines/

Penalties

Description of Data



Certificate of No Derogatory Record




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 480 of 628


Department/ Office


Title or Full Name of Data Directors’/Trustees’ Certificate






URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 481 of 628


Department/ Office



Dispute






URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 482 of 628


Department/ Office








Description of Data



(Secondary License)




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 483 of 628


Department/ Office





Privacy Act);

Description of Data





on shareholdings




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 484 of 628


Department/ Office


Title or Full Name of Data Statement of Sources and Application of

Funds (SSAF under MC 8, Series of 2006)

Description of Data







URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 485 of 628


Department/ Office


Title or Full Name of Data Certification/s on Foundation Projects and






URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 486 of 628


Department/ Office


Title or Full Name of Data Location Map of Financing Companies/



the location of their principal office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 487 of 628


Department/ Office



Description of Data




SEC Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 488 of 628


Department/ Office



Description of Data



Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 489 of 628


Department/ Office



Description of Data



issuing SEC Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 490 of 628


Department/ Office



Description of Data



SEC Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 491 of 628


Department/ Office



Partnership

Description of Data



issuing SEC Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 492 of 628


Department/ Office



Description of Data

Approval of amendment to shorten corporate

term, date of amendment to dissolve


Office




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 493 of 628


Department/ Office



Stock

Description of Data








URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 494 of 628


Department/ Office








URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 495 of 628


Department/ Office


Title or Full Name of Data Certificate of Authority to Operate as

Financing or Lending company

Description of Data



company




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 496 of 628


Department/ Office



Description of Data



requirements




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 497 of 628


Department/ Office


Title or Full Name of Data Petition for Correction, and the


Description of Data



denying the same




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 498 of 628


Department/ Office


Title or Full Name of Data Certificate of No Derogatory Record

Description of Data







URL

Paper copy – ZEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 499 of 628


Department/ Office


Title or Full Name of Data Certificate of No Derogatory Record

Description of Data







URL

Paper copy – ZEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 500 of 628


Department/ Office



Description of Data








URL

Paper copy – ZEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 501 of 628


Department/ Office







SEC




URL

Paper copy – ZEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 502 of 628


Department/ Office


Title or Full Name of Data Certification as to the corporation’s Paid-up

Capital

Description of Data







URL

Paper copy – ZEO

Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 503 of 628


Department/ Office








URL

Paper copy – ZEO



Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 504 of 628


Department/ Office








URL

Paper copy – ZEO



Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 505 of 628


Department/ Office









URL

Paper copy – BEO

Disclosive/

Accessibility





department correspondences

Original Data Owner

SEC

Data Maintainer

SEC-ZEO, Respective Departments

Date Released

Various years

Frequency of Update

As necessary


Page 506 of 628


Department/ Office


Title or Full Name of Data Monthly Reports of Disbursements

(FAR No. 4)






URL

Paper copy – ZEO

Disclosive/

Accessibility





audit by COA)


Original Data Owner

SEC

Data Maintainer

SEC-ZEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 507 of 628


Department/ Office


Title or Full Name of Data Monthly Reports of Collections

Description of Data Reports of collections, remittance advice,

deposit slips and other supporting documents.




URL

Paper copy – ZEO

Disclosive/

Accessibility





audit by COA)


Original Data Owner

SEC

Data Maintainer

SEC-ZEO /SEC-FMD

Date Released

Various years

Frequency of Update

As necessary


Page 508 of 628


Department/ Office







Board of Directors


public




URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible


Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 509 of 628


Department/ Office


Title or Full Name of Data Bank Reports


Philippines, Zamboanga Branch




URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible



Institution

Original Data Owner

LBP

Data Maintainer

SEC-ZEO and FMD

Date Released

Various years

Frequency of Update

As necessary


Page 510 of 628


Department/ Office




Description of Data



Employees




URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible


Original Data Owner

SEC

Data Maintainer

SEC-ZEO and FMD

Date Released

Various years

Frequency of Update

As necessary


Page 511 of 628


Department/ Office



Disbursement Vouchers and Other

Supporting Documents for payment of

agency’s Obligations and Payables


expenses




URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible


Original Data Owner

SEC

Data Maintainer

SEC-ZEO and FMD

Date Released

Various years

Frequency of Update

As necessary


Page 512 of 628


Department/ Office




Withheld (BIRForm 2316) of SEC Officials

and Employees






URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible


Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 513 of 628


Department/ Office



Description of Data







URL

Paper copy – ZEO

Disclosive/

Accessibility






Original Data Owner

SEC

Data Maintainer

SEC-ZEO, EIPD and OGC

Date Released

Various years

Frequency of Update

As necessary


Page 514 of 628


Department/ Office






File Format

Paper Copy


URL

Paper copy – ZEO

Disclosive/

Accessibility




Not accessible. Privileged communication and

are subject of pending cases.

Original Data Owner

SEC

Data Maintainer

SEC-ZEO, EIPD and OGC

Date Released

Various years

Frequency of Update

As necessary


Page 515 of 628


Department/ Office



Show Cause/Deficiency Letters, Request

Letters

And Letter-Reply to Queries





URL

Paper copy – ZEO

Disclosive/

Accessibility




Not Accessible; Privileged communication

Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 516 of 628


Department/ Office







URL

Paper copy – ZEO

Disclosive/

Accessibility






Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 517 of 628


Department/ Office


Title or Full Name of Data Assessment Sheets

Description of Data


corporations, for violations for which

SEC/Corporation Code prescribes penalties




URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

SEC

Data Maintainer

SEC-BEO

Date Released

Various years

Frequency of Update

As necessary


Page 518 of 628


Department/ Office




cases




URL

Paper copy – ZEO

Disclosive/

Accessibility






Original Data Owner

SEC

Data Maintainer

SEC-ZEO

Date Released

Various years

Frequency of Update

As necessary


Page 519 of 628


Department/ Office


Title or Full Name of Data Petition to Set Aside Order of Revocation/

Suspension

Description of Data







URL

Paper copy – ZEO


Disclosive/

Accessibility





Original Data Owner

Filer

Data Maintainer

SEC-ZEO, OGC

Date Released

Various years

Frequency of Update

As necessary


Page 520 of 628


Department/Office Financial Management Department


Financial Reports (eNGAS)

Description of Data Statement of Financial Position

Statement of Comprehensive Income

Statement of Cash Flows

Statement of Changes in Net Assets /Equity

Journal Entries

General Journal

General Ledger

Subsidiary Ledger

Trial Balance

Adjusting Entries

Closing Entries


File format hard copy (printable via eNGAS)/electronic copy


Available offline thru eNGAS

Disclosive/ Accessibility (If not disclosable/accessible to the public, state reason/legal basis)

Not Accessible by the public because it is an Internal System.


Data Maintainer COA/ICTD


Frequency of Update Daily


Page 521 of 628




Photocopying or Certified True Copy Official Receipt of SEC Fees and Fines

Description of Data Amount

Name of Corporation

Date of Payment

Address

Type of Fees

Official Receipt No.




n/a


Available online for internal (SEC Staff) clients of SEC.


Data Maintainer FMD-Treasury Division




Page 522 of 628




Photocopying or Certified True Copy Official Receipt of SEC Fees and Fines

Description of Data Amount

Name of Corporation

Date of Payment

Address

Type of Fees

Official Receipt No.




n/a


Available online for internal (SEC Staff) clients of SEC.


Data Maintainer FMD-Treasury Division




Page 523 of 628




Bank Deposits in Government Servicing Bank (GSB);

Description of Data Date

Account Number

Account Name

Amount

Name of Depositor




Available duplicate copy of the deposit slip to the Treasury Division


Not Accessible


Data Maintainer COA/Treasury Division




Page 524 of 628




Bank Reports obtained from GSB

Description of Data Date

Account Number

Account Name

Amount

Balances






Not accessible


Data Maintainer COA/Treasury Division




Page 525 of 628




Salaries, Allowances and Deductions of SEC Officials and Employees in General Payroll


Basic salaries

Allowances

Deductions

Net Pay

Signature of Chief Accountant

Signature of the Finance Director






Not accessible


Data Maintainer COA/Accounting Division


Frequency of Update Monthly


Page 526 of 628




Disbursement Vouchers and Other Supporting Documents for payment of Agency’s Obligations and Payables


Fund Cluster

Mode of Payment

Date

Disbursement Voucher Number

Name of Creditor

Address

TIN/Employee No.

ORS/BURS No.

Articular

Responsibility Center

MFO/PAP

Amount

Accounting Entry

Certification of Cash Availability

Approved for Payment






Not Accessible to the public but can provide a Certified True Copy of the Disbursement Voucher through a written request






Page 527 of 628




Inter-agency or Intra-Agency Memoranda or Letters that are protected by legal privileges

Description of Data Name of Agency

Date

Addressee

Subject of the Memorandum or Letters

Receiving Department/Agency






Not Accessible






Page 528 of 628




Certificate of Compensation Payment/Tax Withheld (BIR Form 2316) of SEC Officials and Employees


Entity Tax Identification Number (TIN)

Employees Name

Employees TIN

Address

Status

Birthday

Name of Qualified Dependent

Period Covered

Tax Due/Deficiency






Not Accessible to the public due to Personal Information of the Employees and indicated in the BIR Form 2316


Data Maintainer Accounting Division




Page 529 of 628




GSIS, PHIC, HDMF numbers of SEC officials and

Employees (Remittance)



Birthday

Amount Due












Page 530 of 628




Application of ATM cards


Birthdays

Status

Address

Signature Specimen










Frequency of Update If applicable


Page 531 of 628




Agency Remittance Advice to GSIS



Salary












Page 532 of 628




Internal Personnel Rules and Practices (For

Internal Control Purposes)

Description of Data Prepared by

Approved by






Not Available






Page 533 of 628


Department/ Office Human Resource Administrative Department

(HRAD)


Data Appointment Paper

Description of Data

Appointment Paper of employees (newly hired,

promoted, reappointment) that states their Name,

Position, Status of Appointment, Annual Salary,

Signature of the Chairperson, Date Signed

Online Publication

n/a


Location or

Download URL 201 File

Disclosive/

Accessibility


accessible to the


legal basis)

Accessible by written/formal request

Original Data Owner

SEC

Data Maintainer

HRMD – 201 file

Date Released Released to the employees concern upon Date

Signed/ Assumption to office or upon request

Frequency of Update n/a


Page 534 of 628


Department/ Office

Human Resource Administrative Department

(HRAD)


Service Record

Description of Data

Certificate of Service Record of Employees that

contains their Name, Date of Birth, Place of

Birth, Position Title, Inclusive Date of Service,

Salary


File Format Paper Copy; MS Excel


URL HRMD Office

Disclosive/

Accessibility




Accessible (upon request)

Original Data Owner

HRAD-HRMD

Data Maintainer

HRMD

Date Released

Various years



Page 535 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Office Orders

Description of Data

Copy of issuances by the Chairperson as chief executive officer of the Commission or pursuant to the authority of the Commission on matters of administrative detail which only concern a particular officer or office from the Office of the Commission Secretary




URL N/A

Disclosive/

Accessibility




Accessible (internally)

Original Data Owner Office of the Commission Secretary

Data Maintainer

HRMD

Date Released

Various years



Page 536 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Office Orders

Description of Data

Copy of issuances by the Chairperson as chief executive officer of the Commission or pursuant to the authority of the Commission on matters of administrative detail which only concern a particular officer or office from the Office of the Commission Secretary




URL N/A

Disclosive/

Accessibility




Accessible (internally)

Original Data Owner Office of the Commission Secretary

Data Maintainer

HRMD

Date Released

Various years



Page 537 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Certificate of Clearance

Description of Data




URL HRMD 201 File Room

Disclosive/

Accessibility




Accessible

Original Data Owner

Data Maintainer

HRMD

Date Released

Various years



Page 538 of 628


Department/ Office


(HRAD)

Title or Full Name of Data SALN

Description of Data

A declaration of assets and liabilities including business and financial interest of an official/employee of his or her spouse and of his or her unmarried children under 18 years old still living in the parents’ household





Disclosive/

Accessibility




Limited Access

Original Data Owner Employee/ Applicant

Data Maintainer

HRMD

Date Released

Various years



Page 539 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Copies of Eligibilities

Description of Data Certified true copy of certificate of eligibilities stating Name, Rating, Date





Disclosive/

Accessibility




Not Accessible


Data Maintainer

HRMD

Date Released

Various years



Page 540 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Diplomas

Description of Data A certificate issued by an educational institution that contains the Name, School, Degree, Date Earned





Disclosive/

Accessibility




Not Accessible


Data Maintainer

HRMD

Date Released

Various years



Page 541 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Marriage Contract

Description of Data

A document with important details of marriage such as Name, Date of Birth, Place of Birth, Name of Parent, Place of Marriage, Name and Signature of Witnesses





Disclosive/

Accessibility




Not Accessible


Data Maintainer

HRMD

Date Released

Various years



Page 542 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Personal Data Sheet

Description of Data

CSC prescribed form. “The PDS is the official information sheet for all government officials and employees and is used as a main supporting document for all appointments in the government service.” – CSC Description





Disclosive/

Accessibility




Not Accessible


Data Maintainer

HRMD

Date Released

Various years



Page 543 of 628


Department/ Office


(HRAD)

Title or Full Name of Data Psychological Examination Results

Description of Data

A document that contains the industrial assessment of Intellectual Functioning, Aptitude, Work Values, Personality of an employee/applicant


File Format Paper Copy; MS Word



Disclosive/

Accessibility




Not Accessible

Original Data Owner HRMD

Data Maintainer

HRMD

Date Released

Various years



Page 544 of 628


Department/Office Human Resource and Administrative Department

(HRAD)


Data

Bids and Awards Committee (BAC)

Correspondences

Description of Data

The correspondences (i.e. communication letters,

memoranda, notices, and reminders) that SEC-

BAC sends to its stakeholders related to SEC

procurement


File Format PDF; Hard Copy


URL N/A

Disclosive/Accessibility

(If not

disclosable/accessibility

to the public, state

reason/legal basis

Accessible to the Public


Data Maintainer Procurement Division/BAC Secretariat

Data Released Various dates



Page 545 of 628



(HRAD)


Data

Bids and Awards Committee (BAC)

Correspondences

Description of Data

The correspondences (i.e. communication letters,

memoranda, notices, and reminders) that SEC-

BAC sends to its stakeholders related to SEC

procurement




URL N/A


(If not



reason/legal basis




Data Released Various dates



Page 546 of 628



(HRAD)


Data

Office Orders on the Composition of BAC and

TWG

Description of Data Documentation on the designation of SEC

officials/employees as members of the BAC and

TWG


File Format Hard Copy


URL

N/A


(If not



reason/legal basis




Data Released Every 1st Quarter of the Calendar Year

Frequency of Update Annually


Page 547 of 628



(HRAD)


Data Purchase Requests

Description of Data

The document generated by the End-User,

approved by the department head and its

Supervising Commissioner for submission to the

BAC to commence the procurement process;

contains relevant information such as the project

title, approved budget for the contract, technical

specifications, and breakdown of the budget, etc




URL N/A


(If not



reason/legal basis



Data Maintainer Procurement Division/BAC Secretariat/End-User

Department

Data Released As the need arises



Page 548 of 628



(HRAD)


Data Invitation to Bid

Description of Data

Document posted by the BAC to invite

prospective bidders to participate in SEC

procurement; Contains relevant information such

as Title of the Project, Approved Budget for the

Contract, Price of the Bidding Document, Dates of

Procurement Activities, etc.

Online Publication SEC Website

PhilGEPS Website



URL

http://philgeps.gov.ph/

http://www.sec.gov.ph/procurement/securities-

and-exchange-commission-public-bidding/


(If not



reason/legal basis




Data Released Every Start of a Procurement Process



http://www.sec.gov.ph/procurement/securities-and-exchange-commission-public-bidding/

http://www.sec.gov.ph/procurement/securities-and-exchange-commission-public-bidding/


Page 549 of 628



(HRAD)


Data Requests for Quotation

Description of Data

Document posted by the BAC to invite

prospective bidders to participate in SEC

procurement; Contains relevant information such

as Title of the Project, Approved Budget for the

Contract, Date of Submission, Documentary

Requirements, Conditions of Sale, Minimum

Technical Requirements, etc.


PhilGEPS Website



URL


http://www.sec.gov.ph/procurement/request-for-

quotation/


(If not



reason/legal basis




Data Released Depending on the Request of the End-Users



http://www.sec.gov.ph/procurement/request-for-quotation/

http://www.sec.gov.ph/procurement/request-for-quotation/


Page 550 of 628



(HRAD)


Data SEC Bidding Documents

Description of Data

Documents issued to the prospective bidders that

indicate all the necessary information relevant to

the project for bid, and procedures/documentary

requirements (prescribed bid form, drawings,

specifications, time lines, charts, price

breakdowns, etc.)


PhilGEPS Website



URL


http://www.sec.gov.ph/procurement/bidding-

documents/


(If not



reason/legal basis




Data Released Depending on the start of procurement activity

Frequency of Update Depending on the procurement project


http://www.sec.gov.ph/procurement/bidding-documents/

http://www.sec.gov.ph/procurement/bidding-documents/


Page 551 of 628



(HRAD)


Data Notice of Award

Description of Data

Issued to the bidder declared as the eligible

bidder; Indicates the project title, contract cost

and the instruction to post a performance bond, if

applicable


PhilGEPS Website



URL


http://www.sec.gov.ph/procurement/securities-

and-exchange-commission-notice-of-award/


(If not



reason/legal basis




Data Released Depending on the project



http://www.sec.gov.ph/procurement/securities-and-exchange-commission-notice-of-award/

http://www.sec.gov.ph/procurement/securities-and-exchange-commission-notice-of-award/


Page 552 of 628



(HRAD)


Data Notice to Proceed

Description of Data

Issued to the winning bidder, notifying to

commence the execution of the project; Indicates

project title and the contract cost




URL N/A


(If not



reason/legal basis




Data Released Depending on the Project



Page 553 of 628



(HRAD)


Data Notice to Proceed

Description of Data

Issued to the winning bidder, notifying to

commence the execution of the project; Indicates

project title and the contract cost




URL N/A


(If not



reason/legal basis




Data Released Depending on the Project



Page 554 of 628



(HRAD)


Data Contracts/Purchase Orders/Work Orders

Description of Data

Contains complete information of agreement and

terms of delivery/service, duration of contract, the

terms of payment, the contract cost,

specifications, etc.




URL PhilGEPS Website


(If not



reason/legal basis




Data Released Depending on the project



Page 555 of 628



(HRAD)


Data BAC Resolutions

Description of Data

Contains information on the BAC decisions (i.e.

award, failure of bidding, resorting to negotiation,

etc.) resolved during the BAC meetings relative

the procurement activities

Online Publication PhilGEPS Website



URL https://www.philgeps.gov.ph


(If not



reason/legal basis




Data Released Dependent on the release of OGC review


https://www.philgeps.gov.ph/


Page 556 of 628



(HRAD)


Data Notice of the BAC Meetings

Description of Data

Indicates information on the subject/s of

discussion on scheduled BAC meeting, the

invited individuals, the time, date and venue of

the scheduled meeting




URL N/A


(If not



reason/legal basis




Data Released 2 days prior the scheduled BAC meeting



Page 557 of 628



(HRAD)


Data Minutes of the BAC Meeting

Description of Data

Documentation on the discussion, resolution and

instructions of the BAC on the scheduled

meetings




URL N/A


(If not



reason/legal basis




Data Released After conduct, within 3 calendar days



Page 558 of 628



(HRAD)


Data Procurement Monitoring Reports

Description of Data Updates on the status of procurement activities

reflected in the Annual Procurement Plan

Online Publication GPPB Website



URL http://www.gppb.gov.ph/monitoring/pmr.php


(If not



reason/legal basis




Data Released Every end of the Semester

Frequency of Update Semestral

http://www.gppb.gov.ph/monitoring/pmr.php


Page 559 of 628



(HRAD)


Data

Agency Procurement Compliance and

Performance Indicators Report

Description of Data

The self-rating of SEC’s procurement process

and procedures and compliance of SEC to the

provisions of RA 9184 and the 2016 IRR




URL N/A


(If not



reason/legal basis




Data Released Every End of the Calendar Year



Page 560 of 628



(HRAD)


Data

Technical Working Group (TWG) and Post-

Qualification/Evaluation Reports

Description of Data

The TWG post-qualification/evaluation on the

eligibility, technical and financial documents of the

Lowest Calculated Bid (LCB) of the subject

project




URL N/A


(If not



reason/legal basis



Data Maintainer Procurement Division/BAC Secretariat; TWG

Members

Data Released

3 days from receipt of post-qualification

documents of the LCB (within 5 calendar days

upon receipt of the notice of LCB)



Page 561 of 628



(HRAD)


Data Unopened/Sealed Proposals of Bidders

Description of Data

Contains documents indicating prospective

bidders’ price proposals, bid price schedule for

the projects for bidding




URL N/A


(If not



reason/legal basis

Not Accessible to the Public

Bidder, if declared ineligible during the bid

opening has 3 calendar days to submit its request

for reconsideration. If after 3 calendar days, no

request for reconsideration was submitted, for

confidentiality purposes, the financial envelope

shall remain sealed

Original Data Owner Bidders

Data Maintainer BAC/BAC Secretariat

Data Released N/A



Page 562 of 628



(HRAD)


Data

Eligibility, Technical and Financial Documents of

Prospective Bidders

Description of Data Contains documentary requirements, price

proposals of the bidders as required under 9184




URL N/A


(If not



reason/legal basis

Not Accessible to the Public

Per Section 29 and 32 of the IRR of RA 9184

Original Data Owner Bidders

Data Maintainer N/A

Data Released N/A



Page 563 of 628


Department/Office Information and Communications Technology Department


Company Profile

Description of Data SEC Registration Number

Company Name

Industry Classification

Business Type

Date of Registration

Principal Address

Business Address

Number of Director

Annual Meeting

Term of Existence

Company Status

Company Address

Telephone Number

Fax Number

Name of Incorporators/Stockholders/Partners

Name of Board of Directors/Trustees

Capital Structure - Authorized capital - Subscribed Capital - Paid-up capital/Contribution/Contributed Capital


File format hard copy (printable via SEC IView)/electronic copy


Available online thru SEC Retrieval Facility (SEC IView)


Available online for external (public) and internal (SEC Staff) clients of SEC.


Data Maintainer ICTD




Page 564 of 628




Company Information

Description of Data SEC Registration Number

Company Name


Company Type


Annual Meeting

Term of Existence

Company Status

Company Address

Telephone Number

Fax Number


File format hard copy (printable in SEC Iview)










Page 565 of 628




Document Receipt Information

Description of Data Receipt Information

Receiving Officer/Encoder

Receiving Branch

Receiving Date and Time

Sec Registration Number

Company Name


Company Type Document Information

Document ID

Document Type

Document Code

Period Covered

Department

Remarks


File format hard copy (printable upon receipt of documents)


Available online thru Computer Assisted Paper Submission








Page 566 of 628




Registration Documents/Reports

Description of Data Articles of Incorporation

By-Laws

Amended Articles of Inc./Amended By-Laws

Increase/Decrease of Capital Stock

General Information Sheet

Financial Statements

Annual Report

Secondary Licenses

All Secondary Reports except those tag as confidential

Board Resolution

Secretary’s Certificate

Other reports and filings of registered corporations/partnerships


File format hard copy printable via SEC Iview










Page 567 of 628




Information Systems Strategic Plans (ISSP)

Description of Data Business Process- development of application systems supporting SEC’s mission-critical functions, administrative application systems for an efficient discharge of administrative support functions and support to operation systems

ICT Infrastructure – providing fast and reliable access and strengthening SEC’s computing power in terms of internet connectivity, processing power, storage capacity; computer performance and linkages between and among the SEC Head Office, SEC Extension Offices and SEC Satellite Offices.

Human Capital – building the internal capability and expertise in various ICT applications.

SEC Plans and Programs for the next 3 years




Available in ICTD


Available in hard copy to selected SEC Officials and Personnel.




Frequency of Update Every Three Years


Page 568 of 628




Computer Generated Lists of data about registered corporations/partnerships

Description of Data Computer Generated List of the following:

Registered Corporations

Registered Partnerships Computer Generated List to include any of the following:

Sec Registration Number

Company Name


Company Type


Company Status

Principal Address

Business Address

Number of Directors/Trustees

Fiscal Year

Annual Meeting

Telephone Number

Fax Number

Name of Incorporators/Stockholders/Partners

Name of Board of Directors/Trustees

Capital Structure - Authorized capital - Subscribed Capital

- Paid-up capital/Contribution/Contributed Capital


File format CDs (soft copy in PDF Format)


Available in ICTD upon request


Available in soft copy to SEC Officials and Personnel. Also available to other government agencies and private individual upon payment of the required fees.




Page 569 of 628




Page 570 of 628


Department/ Office

MARKETS & INTERMEDIARIES DIVISION -

MARKETS &SECURITIES REGULATION

DEPARTMENT


Data SEC FORM IH-14 AR

Description of Data Annual Report

Online Publication



Location or

Download URL

Paper copy –MID_MSRD;


Disclosive/

Accessibility


accessible to the


legal basis)

Yes; Accessible

Original Data Owner

Filer

Data Maintainer SEC-MID_MSRD, SEC-CRMD AND SEC-ICTD

Date Released

Various years


http://www.sec.gov.ph/wp-content/uploads/2015/08/SEC-Form-IH-14-AR.doc


Page 571 of 628


Department/ Office


MARKETS & SECURITIES REGULATION

DEPARTMENT


Data *** AFS

Description of Data Annual Audited Financial Statement

Online Publication



Location or

Download URL

Paper copy – MID_MSRD;


Disclosive/

Accessibility


accessible to the


legal basis)

Yes; Accessible

Original Data Owner

Filer


Date Released

Various years



Page 572 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC Form GIS

Description of Data General Information Sheet




URL

Paper copy – MID_MSRD


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer

SEC-MID_MSRD, SEC-CRMD AND SEC-ICTD

Date Released

Various years

Frequency of Update

Annually

http://www.sec.gov.ph/wp-content/uploads/2015/10/For2017-GIS_Stock-01.xls


Page 573 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data ***Secretary’s Certificate on the Attendance

of Board of Directors

Description of Data Certificate of Attendance of Directors in

meetings of the Board of Directors




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually


Page 574 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data IHFS

Description of Data Special Form for Financial Statements




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually

http://www.sec.gov.ph/wp-content/uploads/2015/08/IHFS_investment-houses-underwriters_rev-2006.xls


Page 575 of 628


Department/ Office



DEPARTMENT






URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually



Page 576 of 628


Department/ Office



DEPARTMENT






URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually



Page 577 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM ICA-IA

Description of Data Registration Form/Amendment Form for

Investment Company Advisers




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary

http://www.sec.gov.ph/wp-content/uploads/2015/08/SEC-FORM-ICA-IA.doc


Page 578 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM ICA-T

Description of Data

Notice for Termination of Certified Investment

Solicitor or Compliance Officer of an Investment

Company Adviser/Mutual Fund Distributor




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary

http://www.sec.gov.ph/wp-content/uploads/2015/10/SEC-Form-ICAT-Nov2015.docx


Page 579 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM ICA-CIS/ SEC FORM ICA-CO

Description of Data Amendment / Changes in the Information

contained in SEC Form ICA-CIS/CO




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary

http://www.sec.gov.ph/wp-content/uploads/2015/08/SEC-FORM-ICA-CIS.doc

http://www.sec.gov.ph/wp-content/uploads/2015/08/sec-form-ica-co-as-of-9-oct-20121.pdf


Page 580 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM IH-14 QPR

Description of Data Quarterly Progress Report




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Quarterly

http://www.sec.gov.ph/wp-content/uploads/2015/08/SEC-Form-IH-14-QPR.doc


Page 581 of 628


Department/ Office



DEPARTMENT


Data SEC FORM 28 BD/28-BDA/28-AMD

Description of Data Registration of Brokers and Dealers

Online Publication



Location or

Download URL



Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer


Date Released

Various years



Page 582 of 628


Department/ Office



DEPARTMENT


Data SEC FORM 28-AP/28-AMD

Description of Data Registration of Associated Person of a Broker

Dealer

Online Publication



Location or

Download URL



Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Filer


Date Released

Various years



Page 583 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM 28 S-/28-AMD

Description of Data Registration of Salesman of a Broker Dealer




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 584 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM 28 - BDF

Description of Data Bio-Data of Directors and Officers




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 585 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM 28-T

Description of Data Notice of Discontinuation of Employment of a

Salesman or Associated Person




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 586 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM 30.1/30.1-AMD

Description of Data Affiliated Transaction Monitoring Sheet




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 587 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM 30.2-BD (QCR)

Description of Data Associated Person's Quarterly Compliance

Report




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Quarterly


Page 588 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data SEC FORM MCG-2002

Description of Data Certificate of Compliance with the Manual of

Corporate Governance




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually


Page 589 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data ANNUAL REPORT - CHINESE WALL RULES

Description of Data Report on the measures the Broker Dealer has

taken to enforce the Chinese Wall Rules




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually


Page 590 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data COMPLAINT REPORT

Description of Data

Written complaints received from the client and

the action taken thereon by the Broker Dealer.

Duplicate Copies of the complaints shall be

attached to the report




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Monthly


Page 591 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data BDFS

Description of Data Special Form for Financial Statements of

Brokers/Dealers in Securities




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Annually


Page 592 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data LIST OF DIRECTORS, OFFICERS AND

EMPLOYEES

Description of Data

List of directors, officers, salesmen and

employees together with their respective photos

taken within six (6) months, with designations

and specimen signatures




URL



Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

As necessary


Page 593 of 628


Department/ Office



DEPARTMENT

Title or Full Name of Data RBCA

Description of Data Risk Based Capital Adequacy Report




URL Not applicable

Disclosive/

Accessibility




No, not accessible (retain via Microfilm, tagged

as “Confidential”)

Merely a risk assessment tool intended for

regulatory purposes/agencies.

Original Data Owner

Filer

Data Maintainer


Date Released

Various years

Frequency of Update

Bi-monthly


Page 594 of 628


Department/ Office Office of the Commission Secretary


Data SEC Rules and Regulations

Description of Data

Online Publication Posted on SEC Website



URL

Paper copy - OCS;

http://www.sec.gov.ph/laws-rules-decisions-and-

resolutions/rules/#



Data Maintainer SEC-OCS and SEC-ICTD

Date Released Various years



Page 595 of 628




Data SEC Memorandum Circulars

Description of Data



Location or

Download URL

Paper Copy-OCS

http://www.sec.gov.ph/public-information-2/sec-

issuances/securities-and-exchange-commission-

memorandum-circulars/







Page 596 of 628




Data SEC Guidelines

Description of Data



Location or

Download URL

http://www.sec.gov.ph/laws-rules-decisions-and-

resolutions/rules/




Date Released

Various years

Frequency of Update

As necessary


Page 597 of 628




Data SEC Office Orders

Description of Data



Location or

Download URL N/A

Disclosive Yes; Accessible (internally)


Data Maintainer SEC-OCS


Frequency of Update

As necessary


Page 598 of 628




Data SEC Resolutions

Description of Data

Online Publication


Location or

Download URL





Frequency of Update

As necessary


Page 599 of 628




Data Agenda of the Commission Meetings

Description of Data




URL N/A





Frequency of Update

As necessary


Page 600 of 628




Data Agenda of the Executive Sessions

Description of Data



Location or

Download URL







Page 601 of 628




Data

Memorandum of Agreements/Understanding of

SEC with other organizations

Description of Data



Location or

Download URL N/A







Page 602 of 628




Documents treated as “Confidential” such as

Shareholders Agreement, Valuation Study, Top

20 Shareholders, Beneficial Owners owning 5%

and 10%, Escrow Account, Transfer Agency

Agreement, etc.

Description of Data




URL N/A

Disclosive No; Not accessible to the public






Page 603 of 628




Data Memorandum for Agenda

Description of Data



Location or

Download URL N/A







Page 604 of 628




Data Attachments to the Memorandum for Agenda

Description of Data



Location or

Download URL N/A







Page 605 of 628




Data Minutes of the Commission Meetings

Description of Data


File Format Paper Copy; PDF; MS Word

Location or

Download URL N/A







Page 606 of 628




Data Minutes of the Executive Sessions

Description of Data


File Format Paper Copy; PDF; MS Word

Location or

Download URL N/A







Page 607 of 628


Department/Office Office of the General Accountant


Application for Accreditation of External Auditor and Auditing Firm

Description of Data EXTERNAL AUDITOR

Fully accomplished application form for external auditor (For initial: SEC Form ExA-001 – Revised 2009; For renewal: SEC Form ExA-001-R).

Certificate of Registration as public practitioner issued by BOA.

Copies of certificates of participation in seminars/trainings

Quality Assurance Manual

In case of Group A, B, and C accreditation, notarized certification that the applicant has fundamental knowledge of the regulatory requirements on each of the other secondary licensees of the Commission.

Copies of Audited Financial Statements (AFS) of the applicant’s two (2) largest clients in terms of assets.

Certificate of Accreditation issued by the Bangko Sentral ng Pilipinas (BSP) and Insurance Commission (IC) – for those availing the mutual recognition of accreditation.

Communication letters to/from applicant.

Notarized complete list of corporate clients.

Letter referrals to/from the Board of Accountancy, Bangko Sentral ng Pilipinas, Insurance Commission and Philippine Depository Insurance Commission.

If Sole Practitioner, Sworn Certificate attesting adherence to the fundamental principles of the Code of Ethics for Professional Accountants in the Philippines per SEC Memorandum Circular No. 2, Series of 2016


Page 608 of 628

AUDITING FIRM

Fully accomplished application form for auditing firm (For initial: SEC Form AuF—002 – Revised 2009; For renewal: SEC Form AuF-002-R).

Certificate of Registration issued by BOA to the firm which is current and effective including its registered partners.

Quality Assurance Manual.

Copies of Audited Financial Statements (AFS) of the firm’s two (2) largest clients in terms of assets.

Certificate of Accreditation issued by the Bangko Sentral ng Pilipinas (BSP) and Insurance Commission (IC) – for those availing the mutual recognition of accreditation.

Communication letters to/from applicant.

Notarized complete list of corporate clients.

List of employees/personnel and their qualifications/position (for Groups A and B). Letter referrals to/from the Board of Accountancy, Bangko Sentral ng Pilipinas, Insurance Commission and Philippine Depository Insurance Commission.

Sworn Certificate attesting adherence to the fundamental principles of the Code of Ethics for Professional Accountants in the Philippines per SEC Memorandum Circular No. 2, Series of 2016

Online Publication List of Accredited External Auditors/Auditing Firms:

By Group Category;

Probationary Accreditation;

Address and Contact Details

Number of Accredited External Auditors Per Region

Number of Accredited Auditing Firms with Map

File format DOC and PDF


Available at SEC Website


Page 609 of 628

http://www.sec.gov.ph/accountants-information/accreditations-of-auditing-firms-external-auditors-valuers-and-credit-rating-agencies/


Some information therein is protected by the Data Privacy Act


Data Maintainer OGA




Page 610 of 628




Application for Accreditation of Appraisal Companies

Description of Data Notarized application for accreditation;

Board or partners’ Resolution approving the filing of the application and the designation of authorized signatory on behalf of the firm;

Company profile indicating the history, scope of services, list of employees and their corresponding profession, bio-data of the executive/certifying officers/partners and certifying property appraisers or valuation specialist;

Document showing compliance with the prescribed qualifications for the applicant appraisers or valuation specialist, i.e., professional license, CPE certificates, working experience record;

Certificate of good standing issued by PRC recognized by APO;

List of existing and past clients;

Certifications from at least two (2) commercial banks or two (2) public companies or secondary licensees that they have engaged the services of the appraisal company/professional service organization;

Notarized certification of the applicant signed by its President that the company meets all the qualification requirements under Par. II (3) of the Guidelines on Asset Valuations; that it has not been declared liable by the Commission or by any competent court for violation of the Corporation Code or the Securities Regulation Code and that the company or any of its directors/executive officers has no adverse judgment on any administrative, civil or criminal case involving its appraisal business;


Page 611 of 628

List of any pending administrative, civil or criminal case filed against the company or any of its officers and employees;

Latest audited financial statements; and

Copy of the professional liability insurance policy and sworn undertaking to provide professional liability insurance as required by its clients;

Copy of two (2) Appraisal or Valuation Report issued; and

Copy of the company’s framework of internal control procedures.

Online Publication List of Asset Valuers



Available at SEC Website http://www.sec.gov.ph/accountants-information/accreditations-of-auditing-firms-external-auditors-valuers-and-credit-rating-agencies/




Data Maintainer OGA




Page 612 of 628




Application for Accreditation of Credit Rating Agency

Description of Data Notarized application for accreditation;

Applicant should be a stock corporation and have a minimum paid-up capital of at least Ten Million Pesos (P10,000,000.00);

List of shareholders and their corporate affiliations;

List of other business activities, if any;

Copies of its Articles of Incorporation and By-Laws;

Sworn statement on the following: o Ownership structure and possible

conflicts of interest; o Names, professional qualifications

and independence of the staff involved in the rating decision (“rating specialists”);

o Disclosure of affiliations, training, assistance or support it receives from international rating agencies, if any;

Written code of conduct that can ensure the independence of the rating specialists and the rating agency from the Issuers it is rating;

Rating scales, criteria, measurements, symbols and related assessment devices it uses;

Operating procedures, rating policies, rating criteria and other rationale used in arriving at a rating;

Copy of model written agreement with Issuers; and

Manual on Corporate Governance.

Online Publication List of Credit Rating Agencies



Available at SEC Website http://www.sec.gov.ph/accountants-


Page 613 of 628

information/accreditations-of-auditing-firms-external-auditors-valuers-and-credit-rating-agencies/




Data Maintainer OGA


Frequency of Update As the need arises when new data is received




Application for Certificate of Eligibility under the Special Vehicle Purpose Act

Description of Data Notarized Application letter, signed by a senior officer with a rank of at least Vice President or its equivalent. Describing the following:

o Proposed transactions; o Counterparty/ies; o Terms and Conditions; and o All material commitments related to

the transactions.

Copy of Notarized Contract to Sell or Deed of Absolute Sale with an undertaking to notarize within fifteen (15) days from issuance of COE

Asset Purchase Agreement (for the first leg sale of ROPOA and NPL)

Photocopy of Promissory Notes (for transfer of Non-Performing Liabilities)

Notarized Deed of Dation in Payment or Deed of Assignment or Deed of Conveyance (for dacion en pago transaction)

Copy of the Transfer Certificate of Title (TCT) of the property, which must be in the name of the selling SPV or borrower or assignor in case of dacion en pago transactions

For the transfer of the NPL and ROPOA


Page 614 of 628

(Real and Other Properties Owned or Acquired) by the SPV to a third party, a certified true copy of the COE previously issued by the BSP or by any appropriate regulatory authority, as the case may be.

Online Publication No



Not Applicable




Data Maintainer OGA


Frequency of Update Not Applicable (The Law has already expired)


Page 615 of 628




Notification to File Functional Currency Financial Statements

Description of Data Company notification letter

Illustrative Report of External Auditor




Not Applicable




Data Maintainer OGA


Frequency of Update Per company request received


Page 616 of 628




Certificates:

Accreditation:

o External Auditor/Auditing Firm

o Appraisal Company

o Credit Rating Agency

Eligibility

Description of Data Certificates issued relative to Application for Accreditation and Application for Eligibility as a Special Purpose Vehicle




Not Applicable




Data Maintainer OGA


Frequency of Update Per receipt of approved applications


Page 617 of 628




Requests for Opinion/Exemptive Relief

Description of Data Company letter-inquiry

Supporting documents (if any)

OGA letter-reply




Not Applicable




Data Maintainer OGA


Frequency of Update Per company request received


Page 618 of 628




Referrals from Operating Departments

Description of Data Application for Registration Statement o Memoranda o Matrix of Findings o Company letter-explanation o Evaluation Sheet

Special Assignment o Memoranda o Matrix of Findings o Company letter-explanation o Letter referrals to/from the Board of

Accountancy, Bangko Sentral ng Pilipinas, Insurance Commission and Philippine Depository Insurance Commission




Not Applicable




Data Maintainer OGA


Frequency of Update Per receipt of referrals


Page 619 of 628




Reports

Description of Data Company letter-explanation

OGA comment letter

Consolidated matrix of Audited Financial Statements (AFS) findings




Not Applicable




Data Maintainer OGA


Frequency of Update Upon consolidation of AFS findings


Page 620 of 628


Department/ Office OFFICE OF THE GENERAL COUNSEL


Data Legal Opinions

Description of Data

These are opinions requested by the public to the

Office of the General Counsel relating to the

interpretation and application of laws and rules

being enforced and implemented by the

Commission.

Online Publication



Location or

Download URL

Paper copy - OGC;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner Requestor

Data Maintainer

SEC-OGC; ICTD

Date Released

Various years



Page 621 of 628




Data Decisions (appealed cases)

Description of Data

The whole or any part of the final disposition of the

case issued by the Commission En Banc through

the Office of the General Counsel pertaining to any

matter within its authority.

Online Publication



Location or

Download URL

Paper copy – OGC;


Disclosive/

Accessibility


accessible to the


legal basis)


Original Data Owner

Parties to the case

Data Maintainer

SEC-OGC, ICTD

Date Released

Various years



Page 622 of 628




Orders

Description of Data

Any directive emanating from the Office of the

General Counsel pertaining to issues/

controversies within its jurisdiction.




URL

Paper copy – OGC

Disclosive/

Accessibility




Yes, Accessible to the parties only

Original Data Owner

Parties to the case

Data Maintainer

SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 623 of 628


Department/ Office

OFFICE OF THE GENERAL COUNSEL

Title or Full Name of Data Resolutions

Description of Data

Final disposition of a case issued by the

Commission En Banc through the Office of the

General Counsel.




URL

Paper Copy-OGC


Disclosive/

Accessibility




Yes, Accessible

Original Data Owner

Parties

Data Maintainer

SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 624 of 628


Department/ Office


Title or Full Name of Data Position Papers

Description of Data

Papers which the SEC give its

position/comment/recommendation with respect

to pending bills or legislative actions.




URL

Paper Copy-OGC

Disclosive/

Accessibility




Yes, Accessible to selected requestors

Original Data Owner

Congress (Senate or House of Rep.)

Data Maintainer

SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 625 of 628


Department/ Office



Drafts of Decisions, Orders, Resolutions,

Position Papers, Comments, Memoranda,

Legal opinions

Description of Data

Preliminary notes/writings prepared by the OGC

lawyers prior to approval and promulgations to

the parties, and subject to changes and

revisions.




URL

Paper Copy-OGC

Disclosive/

Accessibility




Not accessible; sub judice rule/deliberative

privilege

Original Data Owner SEC-OGC

Data Maintainer

SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 626 of 628


Department/ Office



Internal Memoranda covered by deliberative

process privilege

Description of Data

Memoranda from and between OGC and

different departments/offices with respect to an

issue/subject for information or for

comments/actions.




URL

Paper Copy-OGC

Disclosive/

Accessibility




Not accessible

Original Data Owner

Requesting SEC department

Data Maintainer

SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 627 of 628


Department/ Office


Title or Full Name of Data Inter-agency memoranda or comments

covered by deliberative process privilege

Description of Data

Memoranda from and between the SEC and

other government agencies when the

subject/issue is still in the process of being

formulated or in exploratory stage.




URL

Paper Copy-OGC

Disclosive/

Accessibility




Not accessible; deliberative process privilege

Original Data Owner Other government agencies

Data Maintainer SEC-OGC

Date Released

Various years

Frequency of Update

As necessary


Page 628 of 628


Department/ Office


Title or Full Name of Data Records of pending cases, except by the

parties and their respective counsels

Description of Data

Records of proceedings or information of

proceedings involving pending cases in the

Office of the General Counsel.




URL

Paper Copy-OGC

Disclosive/

Accessibility




Not accessible; sub judice rule/deliberative

privilege

Original Data Owner

Parties

Data Maintainer

SEC-OGC; Parties

Date Released

Various years

Frequency of Update

As necessary

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