Conduct of a Certification Seminar for Phase 1 of the SEC Certification Examination on 15 & 16 October 2019

August 2019 ECONOMIC RESEARCH AND TRAINING DEPARTMENT TO : All Prospective Capital Market Professionals SUBJECT : Conduct of a Certification Seminar for Phase 1 of the SEC Certification Examination on 15 & 16 October 2019 NOTICE Notice is hereby given to all concerned that the Commission will be conducting a two-day Certification Seminar for Phase 1 of the SEC Certification Examination on 15 & 16 October 2019 . The seminar will be held at Meeting Room 9, 3rd Floor, Delegation Building, Philippine International Convention Center (PICC) Complex, Roxas Boulevard, Pasay City. All interested participants are encouraged to file their registration forms on or before 5:00 p.m. of Monday, 30 September 2019 . cDHAES The certification seminar is designed to help prospective capital market professionals prepare for Phase 1 of the SEC Certification Examination, which is a prerequisite to Phase 2 of the SEC Certification Examination. Passing both phases is a requirement for applying for license as a capital market professional. Phase 1 covers Modules 1-6 of the SEC Certification Program, as follows: Topic/Module 1 Fundamentals of Securities Topic/Module 2 Economic Principles and Market Theories Topic/Module 3 Fundamentals of Securities Regulation Topic/Module 4 Corporate Governance Topic/Module 5 Risk Management Topic/Module 6 Anti-Money Laundering Phase 2, on the other hand, is the specialized or industry specific examination and has only one module. Interested seminar participants must submit their accomplished registration forms (copy attached) 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) 818-7256 or email address [emailprotected] . A seminar fee of Nine Thousand Six Hundred Pesos (P9,600.00) shall also be paid upon submission of the accomplished registration form. It will cover the seminar materials, meals for the two-day seminar, and related expenses, and must be paid in Cash or Manager's Check payable to the Securities and Exchange Commission. Issued on ____ August 2019. (SGD.) ROSE ANN S. ESPIRITU Officer-in-Charge ATTACHMENT Certification Seminar Phase 1