Conduct of a Certification Seminar for Phase 1 of the SEC Certification Examination on 25 & 26 October 2018

September 18, 2018 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 25 & 26 October 2018 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 25 & 26 October 2018 . The seminar will be held at Banquet Hall 3, 2nd Floor, Secretariat 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 05 October 2018 . 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 to applying for a 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. CAIHTE 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) 818-7256 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, and must be paid in Cash or Manager's Check payable to the Securities and Exchange Commission. Issued on September 18, 2018. (SGD.) ROSE ANN S. ESPIRITU Officer-in-Charge