Extension of the Submission Deadline of the Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT) Inherent Risk Assessment Data Form (AIRDF)

2022 ENFORCEMENT AND INVESTOR PROTECTION DEPARTMENT TO : Securities Brokers and Dealers, Investment Houses, Underwriters of Securities, Government Securities Eligible Dealers, Investment Companies/Mutual Fund, Investment Company Advisers, Mutual Fund Distributors, REIT Fund Managers, Financing Companies and Lending Companies SUBJECT : Extension of the Submission Deadline of the Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT) Inherent Risk Assessment Data Form (AIRDF) NOTICE Please be informed that the new deadline for the submission of the AIRDF for those who failed to submit the same due to circumstances beyond their control is on 28 February 2022 . The Form may be accessed through the following link: AML/CFT Inherent Risk Assessment Data Form (AIRDF) for the Year 2020 All covered persons who failed to accomplish the AIRDF in November 2021 due to some valid cause are directed to accomplish the AIRDF and to submit the same on or before the new deadline. Responses to the AIRDF will guide the SEC Covered Persons (CPs) in identifying and assessing the indicators of Money Laundering and Terrorist Financing (ML/TF) risks to which they are exposed and in formulating their Institutional Risk Assessment (IRA) required under SEC Memorandum Circular No. 26, Series of 2020. The information gathered through the AIRDF shall likewise be used by the Commission in implementing its risk-based supervision of the SEC CPs. Failure to submit the AIRDF within the period provided shall constitute a violation of SEC Memorandum Circular No. 26, Series of 2020. For inquiries, you may email the Anti-Money Laundering Division of the Enforcement and Investor Protection Department (AMLD-EIPD) at [emailprotected] . For information/guidance and strict compliance.