Certification under Oath of the List of Customers
SEC-BED Memorandum Circular No. 06-97 • Securities and Exchange Commission Departments • Markets and Securities Regulation Department (MSRD) • Dec 23, 1997
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December 23, 1997 SEC-BED * MEMORANDUM CIRCULAR NO. 06-97 TO : All Broker/Dealers SUBJECT : Certification under Oath of the List of Customers For effective monitoring of market participants and transparency of their securities transactions, broker/dealers are hereby directed to submit to the Commission on or before January 31, 1998 a Certification under oath of the list of customers with their corresponding frequency and volume of transactions as of the last trading day for 1997. The same shall be subject to verification by SEC auditors. prcd (SGD.) PERFECTO YASAY, JR. Chairman
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