Conduct of a Certification Seminar for Prospective Associated Persons/Compliance Officers (Equities Market) on September 25 & 26, 2018

August 22, 2018 ECONOMIC RESEARCH AND TRAINING DEPARTMENT TO : All Prospective Capital Market Professionals SUBJECT : Conduct of a Certification Seminar for Prospective Associated Persons/Compliance Officers (Equities Market) on September 25 & 26, 2018 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 25 & 26 September 2018 . The seminar will be held at Banquet Hall 3, 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 07 September 2018 (Friday) . Registration to this seminar, however, will be closed as soon as the desired number of participants is reached. Hence, the first-come, first-served policy shall be enforced. 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) 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. It must be paid in Cash or Manager's Check payable to the Securities and Exchange Commission. Issued on August 22, 2018. CAIHTE (SGD.) ROSE ANN S. ESPIRITU Officer-in-Charge ATTACHMENT Certification Program for Compliance Officers/Associated Persons (CPCO/AP) Registration Form (Version 2017) Application Receipt