SEC-EIPD Notice

2020 ENFORCEMENT AND INVESTOR PROTECTION DEPARTMENT TO : (1) All Securities Brokers and Dealers, Investment Houses, Securities Underwriters, Government Securities Eligible Dealers, Investment Companies/Mutual Fund, Investment Company Advisers, and Mutual Fund Distributors (2) All Financing Companies and Lending Companies with More Than 40% Foreign Participation in Their Voting Stock or with Paid-up Capital of P10M or More NOTICE The Commission will be conducting webinars for officers and directors of SEC covered persons as part of its OUTREACH PROGRAM to enhance their awareness and understanding of their Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT) obligations under the Anti-Money Laundering Act, as amended. The webinar particulars are as follows: HTcADC DATE TOPIC 20 November 2020 Institutional Risk Assessment (IRA) AML/CFT Risk Rating System (ARRS) 27 November 2020 Money Laundering and Terrorist Financing Prevention Program (MTPP) Targeted Financial Sanctions (TFS) In view thereof, all concerned are directed to send their company details (Name of company, email address and authorized contact person) to [emailprotected] for coordination purposes on or before 13 November 2020 . For compliance.