SEC Certification Webinar for Prospective Equities Securities Salesmen Schedule in March and Application Procedure

February 15, 2024 ECONOMIC RESEARCH AND TRAINING DEPARTMENT TO : All Prospective Capital Market Professionals SUBJECT : SEC Certification Webinar for Prospective Equities Securities Salesmen Schedule in March and Application Procedure NOTICE The Commission announces the conduct of SEC Certification Webinar for Prospective Equities Securities Salesmen (ESS). This webinar is mandatory for those who will be applying for the Phase 2-7B ESS Certification Examination. It is likewise open to the general public. TIADCc I. Webinar Schedule Date and Time of Webinar Registration Period 19 and 20 March 2024 (Tuesday and Wednesday); 8:00 am to 5:00 pm 15 February to 8 March 2024 II. Topics Manipulative Devices and Schemes; Fraudulent and other Prohibited Practices Securities Regulation Code (SRC) Rules on Business Conduct Books and Records Rule Capital Markets Integrity Corporation (CMIC) Rules Risk Based Capital Adequacy (RBCA) Rules Philippine Stock Exchange (PSE) Trading Rules Philippine Depository & Trust Corporation (PDTC) Rules Securities Clearing and Corporation of the Philippines (SCCP) Rules The two-day Certification Webinar will be conducted using the Zoom platform. A Question and Answer session with the Resource Person is allotted after every topic discussion. It must be noted, however, that the webinars are not a review-type session. cSEDTC III. Qualifications The webinar is open for all interested individuals, of any age, Filipino or non-Filipino, degree or non-degree holder, employed or unemployed, SEC Certification Examination passer or not. IV. Webinar Fee The fee per person is PhP7,000.00 and is subject to change pending approval of the new SEC Fees and Charges. A transaction fee, determined by the SEC's partner payment channels, will apply on the total fee. The payment is non-transferrable and non-refundable. V. Application and Payment Application Form Link https://bit.ly/ESSMarch2024 1. Completely fill out and submit the Application Form in the link. The application is on a first-come, first-served basis and will be closed once all available slots are filled. 2. Successfully registered applicants will receive a Payment Assessment Form (PAF) through email. Payment should be made within the registration period. Failure to do so will mean automatic forfeiture of the reserved slot for the webinar. 3. The applicant must pay the examination fee online through the Electronic System for Payment to SEC (eSPAYSEC) . Payment methods are via debit card, credit card, GCash and Maya. Successfully paid applicants will receive an e-OR through the email address indicated upon payment. Click here to watch the eSPAYSEC instructional video . 4. Immediately after payment, applicants must send a copy of the e-OR through the same email thread on the issuance of the PAF. 5. Once payment is verified, the registrant will receive the confirmation, webinar details and materials through email from [emailprotected]. AIDSTE Note: Failure to attend the webinar shall mean forfeiture of payment. The webinar schedule is subject to change in compliance with applicable public declaration of work suspension or non-working holidays that may take effect within the period covered. Should any of these arise, the concerned participants will be notified accordingly of the new webinar schedule. Should there be further queries on the foregoing, interested parties are advised to get in touch with the ERTD-Market Professionals and Investor Education Division (MPIED) through email address [emailprotected], landline 8818-7256 or mobile number (+63) 998-841-3545.