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

June 19, 2023 ECONOMIC RESEARCH AND TRAINING DEPARTMENT TO : All Prospective Capital Market Professionals SUBJECT : SEC Certification Webinar for Prospective Equities Securities Salesmen Schedule and Application Procedure NOTICE The Market Professionals and Investor Education Division (MPIED) of the ERTD will conduct the last batch of Certification Webinar for Prospective Equities Securities Salesmen (ESS) for the year 2023. AaCTcI I. Webinar Schedule Date and Time of Webinar Registration Period 18 and 19 July 2023 (Tuesday and Wednesday); 8:00 am to 5:00 pm 19 June to 12 July 2023 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 webinar is not a review-type session. 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. acEHCD 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. IV. Webinar Fee The fee per person is PhP7,000.00. The fee is subject to change pending approval of the 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/ESS2023Batch2 Application Form QR Code 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. A transaction fee, determined by SEC's partner payment channels, will apply on the total fee. Successfully paid applicants will receive an e-OR through the email address indicated upon payment. Payment is non-refundable. 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 webinar materials through email from [emailprotected]. Note: Failure to attend the webinar shall mean forfeiture of payment. EcTCAD The webinar schedule is subject to change in compliance with applicable public health guidelines and/or public declaration of work suspension or non-working holiday 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.