SEC Certification Webinar Schedule and Application Procedure

June 14, 2021 SEC NOTICE TO : All Prospective Capital Market Professionals SUBJECT : SEC Certification Webinar Schedule and Application Procedure The following are the schedule, application process and payment options for the SEC Certification Webinars for 2021. I. Webinar Schedule SEC Certification Program Batch 1 Batch 2 Date and Time of Webinar Registration Period Date and Time of Webinar Registration Period Prospective Equities Securities Salesmen (ESS)* June 24-25, 2021 8:00am-5:00pm June 14-18, 2021 August 5-6, 2021 8:00am-5:00pm June 28-July 23, 2021 Prospective Compliance Officers/Associated Persons (CO/AP) in the Equities Market** June 29-30, 2021 8:00am-5:00pm June 14-June 24, 2021 September 9-10, 2021 8:00am-5:00pm August 1-August 27, 2021 Phase 1 of the SEC Certification Examination*** September 2-3, 2021 8:00am-5:00pm June 14-August 20, 2021 - - * Prerequisite webinar for Phase 2 ESS examination applicants and open for all ** Prerequisite webinar for Phase 2 CO/AP examination applicants and open for all *** Optional webinar before taking the Phase 1 examination and open for al l II. Online Application SEC Certification Program Batch 1 Registration Form Link Batch 2 Registration Form Link Prospective Equities Securities Salesmen (ESS) https://forms.gle/9MocU6G1RkNrAH3eA https://forms.gle/i81K3HXMxX96S2SF8 Prospective Compliance Officers/Associated Persons (CO/AP) in the Equities Market https://forms.gle/q2HD9ML3ssrs7Ps77 https://forms.gle/8esUYuxduQYEe3BAA Phase 1 of the SEC Certification Examination https://forms.gle/tua8PAKWWZ3Fs7uz9 - 1. The applicants should apply by filling out the online Google form, the link for which are provided above. The application is on a first-come, first-served basis and will be closed once all available slots are filled. 2. Successfully registered participants will receive a Payment Assessment Form (PAF) through email. Payment should be made within the registration period. Failure to do so will mean forfeiture of the reserved slot for the webinar. 3. After payment, participants must send a copy of the proof of payment (SEC official receipt (OR)/electronic OR or validated LandBank deposit slip) through email to [emailprotected], together with the following details: Subject Line of Email: [Webinar Title] [Batch Number] Proof of Payment Example: Prospective Equities Securities Salesmen Batch 1 Proof of Payment Body/Content: Complete name of Participant Contact details (contact numbers and email addresses) 4. Registered participants with verified payment will receive the confirmation, webinar details and webinar materials through email from [emailprotected]. III. Webinar Fee Payment Options The webinar fee is PhP7,000.00 per participant. Payments are non-refundable and shall be forfeited if not availed on the scheduled webinar. Applicants may present the hard copy of the PAF and pay the webinar fee through any of the following options: 1. SEC Payment Portal (Debit/Credit Card or PayMaya Wallet) Transaction fees will apply. Access the SEC Payment Portal. Watch the instructional video. 2. SEC Head Office Cashier Location: West Wing, Ground Floor, Secretariat Building, PICC Complex Schedule: 9:00 am to 3:00 pm, Monday to Friday (except holidays) Contact number: 8818-5825 Payment must be in Cash or Manager's Check payable to the Securities and Exchange Commission 3. SEC Ortigas Cashier Location: Ground Floor, SEC Ortigas Building, EDSA, Mandaluyong City Schedule: 8:00 am to 2:00 pm, Monday to Friday (except holidays) Contact number: 8584-9772 Payment must be in Cash or Manager's Check payable to the Securities and Exchange Commission 4. Any LandBank Branch (Over-the-Counter) The SEC LandBank account details will be sent to successfully registered applicants, and the validated deposit slip will serve as the proof of payment. Access the LandBank branch locator. 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 you have further queries on the foregoing, please feel free to get in touch with the ERTD-Training Division through email address [emailprotected] or mobile number (+63) 998-841-3545.