Capital Market Operations under the Enhanced Community Quarantine

August 5, 2021 SEC NOTICE TO : Capital Market Institutions, Participants, and Employees SUBJECT : Capital Market Operations under the Enhanced Community Quarantine Concerning the implementation of Enhanced Community Quarantine in the National Capital Region (NCR) from 06 August to 20 August 2021, please be advised that under the Omnibus Guidelines on the Implementation of Community Quarantine in the Philippines, as amended, 1 capital market participants are allowed to implement a skeleton workforce arrangement in their offices. 2 The Omnibus Guidelines allow the following IDs as proof of Authorized Person Outside of Residence or APOR status: 1. IATF IDs issued by the regulatory agencies with jurisdiction over permitted establishments or persons, 2. valid IDs or other pertinent documentation issued by accrediting organizations or establishments allowed under ECQ, and 3. if required by the LGU, local IDs for availing of essential goods and services. No other IDs or passes specifically exempting persons from community quarantine shall be required of workers of permitted establishments and/or offices without prejudice to requiring the presentation of other documents establishing the nature of their work. 3 To help the capital markets with their continuous operations amidst the ECQ, the Commission issued the attached list of registered capital market institutions such as the following: 1. Philippine Stock Exchange, Inc. 2. Securities Clearing Corporation of the Philippines 3. Capital Market Integrity Corporation 4. Philippine Dealing and Exchange Corporation 5. Philippine Securities Settlement Corporation 6. Philippine Depository and Trust Corporation 7. Securities Broker Dealers 8. Securities Brokers 9. Securities Dealers 10. Brokers in Proprietary Shares 11. Government Securities Eligible Dealers 12. Investment Houses 13. Underwriters of Securities 14. Registrars of Qualified Buyers 15. Investment Companies or Mutual Fund Companies 16. Investment Company Advisers 17. Mutual Fund Distributors 18. REIT Fund Managers 19. REIT Property Managers 20. Crowdfunding Intermediary 21. ATS Operators 22. Transfer Agents The said listing may be used as reference by employees, together with their office ID, to support their claim of employment in a capital market institution and qualify as an APOR. The concerned employees can access, save and/or print a copy of said list. Please be guided accordingly. ATTACHMENT IATF Resolution No. 130-A, s. 2021 July 29, 2021 Footnotes 1. Accessible at <https://www.officialgazette.gov.ph/2021/05/20/omnibus-guidelines-on-the-implementation-of-community-quarantine-in-the-philippines-with-amendments-as-of-may-20-2021/>. 2. Section 2.4 (c) (iv) of the Omnibus Guidelines on the Implementation of Community Quarantine, as amended. 3. Section 2.13 of the Omnibus Guidelines on the Implementation of Community Quarantine, as amended.