Effectivity of the 2015 SRC Rules on November 09, 2015

November 5, 2015 SEC NOTICE TO : Market Participants and All Concerned SUBJECT : Effectivity of the 2015SRCRules on November 09, 2015 Please be informed that the 2015 Implementing Rules and Regulations of the Securities Regulation Code or "2015 SRC Rules" will take effect on November 09, 2015, following publication in Manila Bulletin and the Philippine Star, on Sunday, October 25, 2015. Queries in relation to the implementation of the 2015 SRC Rules may be directed to the offices of the Commission indicated in the attached guide. DETACa For your guidance. ATTACHMENT 2015 SRC Rules Office in Charge Rule 24.2 Short Sales Rule 28 Brokers and Dealers Rule 29 Protection of Customer Accounts Rule 30.1 Monitoring of Affiliated Transactions by Broker Dealers Rule 32 Exchanges & Securities Trading Markets Rule 33 Registration of Exchange Rule 34 Segregation of Broker and Dealer Transactions Rule 35 Additional Fees of Exchanges Rule 36 Transfer Agents and Clearing & Settlement MSRD-MID Rule 37 Innovative and Other Trading Markets (Markets & Intermediaries Division) Rule 39.1.1 SRO which is an Organized Exchange Phone: 584-7164 Rule 39.1.2 Associations of Brokers and Dealers and Other SROs 584-8178 Rule 39.1.3 Regulatory Responsibilities Among SROs Rule 39.1.4 Registrars of Qualified Buyers MSRD-IPSD Rule 40 Registration, Rulemaking, Oversight of SROs (Investment Products & Rule 41 Clearing Agency Services Division) Phone: 584-2016 Rule 42 Clearing Agencies and Securities Depositories Rule 43 Uncertificated Securities Email: [emailprotected] Rule 44 Records of Clearing Agencies Rule 45 Pledging of Uncertificated Securities Rule 46 Issuer's Responsibility for Wrongful Transfer Rule 47 Power of SEC with Respect to Securities Ownership Rule 48 Margin and Credit Rule 49.1 Risk Based Capital Adequacy (RBCA) Rule 49.2 Customer Protection Reserves and Custody of Securities Rule 52.1 Accounts and Records, Reports, Examination Rule 72.2 Procedure for Filing Request for Exemptive Relief Rule 8 Registration of Securities Rule 9 Exempt Securities Rule 10 Exempt Transactions Rule 12 Filing Requirements Under the Code Rule 13 Suspension or Revocation of Registration of Securities Rule 14 Amendments on the RS and Prospectus MSRD-SRD Rule 15 Procedures Revocation or Suspension of Registration (Securities Registration Rule 17 Reportorial Requirements Division) Rule 18 Reports to be Filed by Certain Beneficial Owners Phone:584-6080 Rule 19 Tender Offers 584-8508 Rule 20 Disclosures to Stockholders Prior to Meetings Rule 21 Fees for Tender Offers and Certain Proxy Solicitations Email: [emailprotected] Rule 22 Internal Record Keeping and Accounting Controls Rule 23 Reports to be Filed by Directors, Officers and Stockholders Rule 66.3 Confidential Treatment of Information Filed with SEC Rule 72.1 General Rules and Regulations for Filing of SEC Forms Rule 72.2 Procedure for Filing Request for Exemptive Relief Rule 11 Commodity Futures Contracts Rule 24.1 Manipulative Practices Rule 25 Option Trading EIPD Rule 26 Fraudulent Transactions (Enforcement & Investor Protection Department) Rule 27 Insider Trading Rule 53 Investigations, Injunctions and Prosecutions of Offenses Phone: 584-6337 Rule 54.3 Enforcement of Administrative Sanctions 584-8709 Rule 55.1 Settlement Offers Rule 72.2 Procedure for Filing Request for Exemptive Relief Rule 38 Independent Directors CGFD Rule 72.1 General Rules and Regulations for Filing of SEC Forms (Corporate Governance & Finance Department) Rule 72.2 Procedure for Filing Request for Exemptive Relief Phone: 584-66103 584-7264 OGA Rule 39.1.5 Rules Governing Credit Rating Agencies (Office of the General Rule 72.2 Procedure for Filing Request for Exemptive Relief Accountant) Phone: 584-9763