Conduct of a Certification Seminar for Prospective Compliance Officers/Associated Persons (Equities Market) on 16 & 17 July 2019

May 15, 2019 ECONOMIC RESEARCH AND TRAINING DEPARTMENT TO : All Prospective Capital Market Professionals SUBJECT : Conduct of a Certification Seminar for Prospective Compliance Officers/Associated Persons (Equities Market) on 16 & 17 July 2019 NOTICE Notice is hereby given to all concerned that the Commission will be conducting a two-day Certification Seminar for Prospective Associated Persons/Compliance Officers (Equities Market) on 16 & 17 July 2019 . The seminar will be held at Meeting Room 7, 2nd Floor, Secretariat Building, Philippine International Convention Center, Roxas Boulevard, Pasay City. All interested participants are encouraged to file their accomplished registration forms on or before 5:00 p.m. of 01 July 2019 (Monday) . Registration to this seminar, however, will be on a first-come, first-served basis due to limited slots. Therefore, registration will be closed once all available slots are filled. The Certification Seminar for Prospective Associated Persons/Compliance Officers is a prerequisite to taking Phase 2 of the Certification/Licensure Examination, hence mandatory for all prospective capital market professionals, who are aiming for a license as Associated Persons/Compliance Officers (in the equities market). Interested seminar participants must submit their accomplished registration forms to Ms. Abigail M. Camus of the Training Division, Economic Research and Training Department (ERTD), which is located at the West Wing, Ground Floor, Secretariat Building, PICC. Ms. Camus may be reached through telephone number (02) 584-8326 or email address [emailprotected] . Registration forms are downloadable from the SEC website through this link: http://www.sec.gov.ph/services-2/capital-market-professionals-3/certification-examination-and-results/ . A seminar fee of Nine Thousand Six Hundred Pesos (P9,600.00) shall also be paid upon submission of the registration form. It shall cover the seminar materials, meals for the two-day seminar, and related expenses. It must be paid in Cash or Manager's Check payable to the Securities and Exchange Commission. Issued on May 15, 2019. CScaDH (SGD.) ROSE ANN S. ESPIRITU Officer-in-Charge ATTACHMENT Certification Seminar Phase 2