Conduct of Orientations for Online Capital Market Participants Registry System

2017 SEC NOTICE TO : All Capital Market Professionals and Institutions SUBJECT : Conduct of Orientations for Online Capital Market Participants Registry System Notice is hereby given to all concerned that the Company Registration and Monitoring Department (CRMD) and Information and Communications Technology Department (ICTD) shall be conducting orientations for the to-be-implemented "Online Capital Market Participants Registry System (CMPRS)." The Online Capital Market Participants Registration System (CMPRS) is a web-enabled system designed to manage online submission of applications, evaluation and processing of applications of Capital Market Participants (CMPs). The system is expected to reduce the number of clients who will come personally to the CRMD Office. The system provides automatic generation of Certificate of Registration Number (CRN) of newly approved/registered and Confirmation of Payment of Annual Fees of Capital Market Institutions (CMIs) and CMPs. The orientations will be held on November 2, 3, 6 & 7, 2017 at the SEC Function Room B, 2nd Floor, Secretariat Building, Philippine International Convention Center (PICC), Roxas Boulevard, Pasay City. Attached herewith is the list of the CMIs with schedule date of Orientation. Each of the CMI may send up to a maximum of (2) representatives to attend the orientation on how to lodge application using the Online CMPRS for new registration and payment for annual fees this November 2017. Should you have any clarification, please free to contact Mr. Rowel "Welch" Ancheta through telephone number 818-7256 or email [emailprotected]. Thank you. ATTACHMENT Orientation for Capital Market Institutions Online Capital Market Participants Registry System (CMPRS) SESSION 1: 02 November 2017, 9:30-11:00 AM # CRN CAPITAL MARKET INSTITUTIONS' NAME 1 01-2016-00280 1 INFINITY TRADERS SECURITIES CORP. 2 01-2004-00001 A & A SECURITIES, INC. 3 01-2004-00002 A.T. DE CASTRO SECURITIES CORPORATION 4 01-2004-00003 AAA SOUTHEAST EQUITIES, INC. 5 01-2008-00209 AB CAPITAL & INVESTMENT CORPORATION 6 01-2004-00004 AB CAPITAL SECURITIES, INC. 7 01-2008-00214 ABACUS CAPITAL & INVESTMENT CORPORATION 8 01-2004-00005 ABACUS SECURITIES CORPORATION 9 01-2007-00172 AFS PHILIPPINES, INC. 10 01-2004-00008 ALAKOR SECURITIES CORPORATION 11 01-2004-00009 ALPHA SECURITIES CORPORATION 12 01-2008-00215 AMALGAMATED INVESTMENT BANCORPORATION 13 01-2004-00011 AP SECURITIES 14 01-2004-00013 APEX (PHILIPPINES) EQUITIES CORPORATION 15 01-2004-00014 ARMSTRONG SECURITIES, INC. 16 01-2004-00015 ASIA PACIFIC CAPITAL EQUITIES & SECURITIES CORPORATION 17 01-2008-00176 ASIA UNITED BANK CORPORATION 18 01-2008-00216 ASIAN ALLIANCE INVESTMENT CORP. 19 01-2004-00016 ASIASEC EQUITIES, INC. 20 01-2004-00017 ASTRA SECURITIES CORPORATION 21 01-2004-00159 ATR KIMENG ASSET MANAGEMENT, INC. 22 01-2004-00020 AURORA SECURITIES, INC. 23 01-2009-00255 AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED 24 ITS-00001 AZALEA LEISURE RESIDENCES CORPORATION 25 01-2004-00021 B A SECURITIES, INC. 26 01-2004-00022 B.H. CHUA SECURITIES CORPORATION 27 01-2010-00271 BA INVESTMENTS AND HOLDINGS, INC. 28 01-2008-00179 BANK OF COMMERCE 29 01-2008-00180 BANK OF THE PHILIPPINE ISLANDS SESSION 2: 02 November 2017, 1:30-3:00 PM # CRN COMPANY NAME 1 01-2008-00219 BDO CAPITAL & INVESTMENT CORPORATION 2 01-2004-00102 BDO NOMURA SECURITIES, INC. SUCCESSOR BROKER DEALER OF PCIB 3 01-2008-00181 BDO PRIVATE BANK, INC. 4 01-2004-00119 BDO SECURITIES CORPORATION 5 01-2008-00178 BDO UNIBANK, INC. 6 01-2004-00024 BELSON SECURITIES, INC. 7 01-2004-00025 BENJAMIN CO CA & COMPANY, INC. 8 01-2004-00026 BERNAD SECURITIES, INC. 9 01-2004-00108 BONDS, EQUITIES, SECURITIES AND TRADERS, INC. 10 01-2008-00210 BPI CAPITAL CORPORATION 11 01-2004-00151 BPI INVESTMENT MANAGEMENT, INC. 12 01-2004-00027 BPI SECURITIES CORPORATION 13 01-2004-00028 CAMPOS, LANUZA & COMPANY, INC. 14 ITS-00002 CENTURY ACQUA LIFESTYLE CORPORATION 15 01-2004-00030 CENTURY SECURITIES CORPORATION 16 01-2015-00279 CHINA BANK CAPITAL CORPORATION 17 01-2004-00018 CHINA BANK SECURITIES CORPORATION 18 01-2008-00241 CHINA BANKING CORPORATION 19 01-2008-00183 CITIBANK N.A. 20 01-2008-00221 CITICORP CAPITAL PHILIPPINES, INC. 21 01-2004-00031 CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC. 22 01-2004-00034 CITISECURITIES, INC. 23 CPI-00001 CITY & LAND DEVELOPERS, INC. 24 CPI-00003 CITYLAND DEVELOPMENT CORPORATION 25 CPI-00002 CITYLAND, INC. 26 01-2008-00185 CITYSTATE SAVINGS BANK, INC. 27 01-2017-00283 CLIMBS INVESTMENT MANAGEMENT AND ADVISORY CORPORATION 28 01-2008-00222 CLSA EXCHANGE CAPITAL, INC. 29 01-2004-00035 CLSA PHILIPPINES, INC. 30 01-2004-00152 COCOLIFE ASSET MANAGEMENT COMPANY, INC. 31 01-2004-00036 COHERCO SECURITIES, INC. SESSION 3: 03 November 2017, 9:30-11:00 AM # CRN COMPANY NAME 1 01-2004-00033 COL FINANCIAL GROUP, INC. 2 01-2011-00274 CREDIT SUISSE SECURITIES (PHILIPPINES), INC. 3 01-2008-00182 CTBC BANK (PHILIPPINES) CORP. 4 01-2004-00037 CUALOPING SECURITIES CORPORATION 5 01-2004-00038 DA MARKET SECURITIES, INC. 6 01-2004-00039 DAVID GO SECURITIES CORPORATION 7 01-2004-00040 DBP-DAIWA CAPITAL MARKETS PHILIPPINES, INC. 8 01-2008-00186 DEUTSCHE BANK AG 9 01-2004-00041 DEUTSCHE REGIS PARTNERS, INC. 10 01-2005-00164 DEVELOPMENT BANK OF THE PHILIPPINES 11 01-2004-00042 DIVERSIFIED SECURITIES, INC. 12 01-2004-00132 DW CAPITAL, INC. 13 01-2004-00043 E. CHUA CHIACO SECURITIES, INC. 14 01-2004-00045 EAGLE EQUITIES, INC. 15 01-2008-00187 EAST WEST BANKING CORPORATION 16 01-2004-00046 EASTERN SECURITIES DEVELOPMENT CORPORATION 17 01-2004-00047 EASTWEST CAPITAL CORPORATION 18 01-2004-00049 EQUITIWORLD SECURITIES, INC. 19 01-2004-00050 EVERGREEN STOCK BROKERAGE & SECURITIES, INC. 20 01-2004-00051 F. YAP SECURITIES, INC. 21 01-2004-00052 FIDELITY SECURITIES, INC. 22 01-2004-00053 FIRST INTEGRATED CAPITAL SECURITIES, INC. 23 01-2008-00249 FIRST METRO ASSET MANAGEMENT (FMAMI), INC. 24 01-2008-00211 FIRST METRO INVESTMENT CORPORATION 25 01-2004-00095 FIRST METRO SECURITIES BROKERAGE CORPORATION 26 01-2004-00054 FIRST ORIENT SECURITIES, INC. 27 01-2004-00058 G & W CLUBSHARES, INC. 28 01-2004-00060 G G & A CLUB SHARES BROKERS, INC. 29 01-2004-00059 G.D. TAN & CO., INC. 30 01-2004-00061 GLOBALINKS SECURITIES & STOCKS, INC. SESSION 4: 03 November 2017, 1:30-3:00 PM # CRN COMPANY NAME 1 01-2004-00062 GOLDEN TOWER SECURITIES AND HOLDINGS, INC. 2 01-2004-00063 GOLDSTAR SECURITIES, INC. 3 01-2004-00064 GOLFERS CLUB SHARES, INC. 4 01-2004-00162 GREPALIFE ASSET MANAGEMENT CORPORATION 5 01-2004-00065 GUILD SECURITIES, INC. 6 01-2004-00066 H.E. BENNETT SECURITIES, INC. 7 01-2004-00068 HDI SECURITIES, INC. 8 01-2008-00191 HSBC SAVINGS BANK (PHILIPPINES), INC. 9 01-2004-00071 I.B. GIMENEZ SECURITIES, INC. 10 01-2005-00167 ICAP PHILIPPINES, INC. 11 01-2004-00072 IGC SECURITIES, INC. 12 01-2004-00073 IMPERIAL, DE GUZMAN, ABALOS & CO., INC. 13 01-2008-00242 ING BANK N.V. MANILA BRANCH 14 01-2008-00225 INSULAR INVESTMENT CORPORATION 15 01-2008-00226 INTERNATIONAL CAPITAL CORPORATION 16 01-2004-00075 INTRA-INVEST SECURITIES, INC. 17 01-2008-00227 INVESTMENT & CAPITAL CORPORATION OF THE PHILIPPINES 18 01-2004-00076 INVESTORS SECURITIES, INC. 19 01-2004-00077 J.M. BARCELON & CO., INC. 20 01-2005-00165 J.P. MORGAN SECURITIES PHILIPPINES, INC. 21 01-2004-00078 JAKA SECURITIES CORPORATION 22 01-2008-00192 JPMORGAN CHASE BANK, NATIONAL ASSOCIATION 23 01-2004-00080 JSG SECURITIES, INC. 24 01-2004-00082 KING'S POWER SECURITIES, INC. 25 01-2008-00243 LAND BANK OF THE PHILIPPINES 26 01-2004-00083 LARRGO SECURITIES CO., INC. 27 01-2004-00084 LEGACY EQUITIES, INC. 28 01-2004-00085 LITONJUA SECURITIES, INC. 29 01-2004-00086 LOPEZ, LOCSIN, LEDESMA & CO., INC. 30 01-2004-00087 LUCKY SECURITIES, INC. SESSION 5: 06 November 2017, 9:30-11:00 AM # CRN COMPANY NAME 1 01-2004-00088 LUYS SECURITIES CO., INC. 2 01-2004-00074 MACQUARIE CAPITAL SECURITIES (PHILIPPINES), INC. 3 01-2008-00193 MALAYAN BANK SAVINGS & MORTGAGE BANK, INC. 4 01-2004-00089 MANDARIN SECURITIES CORPORATION 5 01-2004-00090 MARIAN SECURITIES, INC. 6 01-2008-00217 MAYBANK ATR KIMENG CAPITAL PARTNERS, INC. 7 01-2004-00019 MAYBANK ATR KIMENG SECURITIES, INC. 8 01-2008-00194 MAYBANK PHILIPPINES, INCORPORATED 9 01-2017-00284 MBG INVESTMENT MANAGEMENT, INC. 10 01-2004-00091 MDR SECURITIES, INC. 11 01-2004-00092 MERCANTILE SECURITIES CORPORATION 12 01-2004-00093 MERIDIAN SECURITIES, INC. 13 01-2008-00195 METROPOLITAN BANK AND TRUST COMPANY 14 01-2004-00094 MOUNT PEAK SECURITIES, INC. 15 01-2004-00161 MULTINATIONAL INVESTMENT BANCORPORATION 16 01-2004-00096 NEW WORLD SECURITIES CO., INC. 17 01-2016-00282 NOVEL SECURITIES, INC. 18 01-2004-00098 OPTIMUM SECURITIES CORPORATION 19 01-2004-00099 PAN ASIA SECURITIES CORPORATION 20 01-2004-00100 PAPA SECURITIES CORPORATION 21 01-2008-00229 PBC CAPITAL INVESTMENT CORPORATION 22 01-2004-00101 PCCI SECURITIES BROKERS CORPORATION 23 01-2008-00231 PENTA CAPITAL & INVESTMENT CORPORATION 24 01-2004-00103 PHIL-PROGRESS SECURITIES CORPORATION 25 01-2004-00155 PHILAM ASSET MANAGEMENT, INC. 26 01-2004-00156 PHILEQUITY MANAGEMENT, INC. 27 01-2008-00196 PHILIPPINE BANK OF COMMUNICATIONS 28 01-2008-00197 PHILIPPINE BUSINESS BANK, INC. (A SAVINGS BANK) 29 01-2008-00232 PHILIPPINE COMMERCIAL CAPITAL, INC. 30 01-2004-00104 PHILIPPINE EQUITY PARTNERS, INC. SESSION 6: 06 November 2017, 1:30-3:00 PM # CRN COMPANY NAME 1 01-2008-00198 PHILIPPINE NATIONAL BANK 2 01-2008-00199 PHILIPPINE POSTAL SAVINGS BANK, INC. 3 01-2008-00233 PHILIPPINE REGIONAL INVESTMENT DEVELOPMENT CORPORATION 4 01-2008-00200 PHILIPPINE SAVINGS BANK 5 01-2008-00201 PHILIPPINE VETERANS BANK 6 01-2004-00007 PHILSTOCKS FINANCIAL, INC. 7 01-2004-00105 PLATINUM SECURITIES, INC. 8 01-2008-00234 PNB CAPITAL AND INVESTMENT CORPORATION 9 01-2004-00106 PNB SECURITIES, INC. 10 01-2004-00107 PREMIUM SECURITIES, INC. 11 01-2004-00110 QUALITY INVESTMENTS & SECURITIES CORP. 12 01-2004-00111 R & L INVESTMENTS, INC. 13 01-2004-00112 R. COYIUTO SECURITIES, INC. 14 01-2004-00113 R. NUBLA SECURITIES, INC. 15 01-2004-00114 R.S. LIM & COMPANY, INC. 16 01-2014-00278 RAMPVER FINANCIALS AND INSURANCE AGENCY, INC. DOING BUSINESS UNDER THE TRADE NAME RAMPVER FINANCIALS 17 01-2008-00212 RCBC CAPITAL CORPORATION 18 01-2008-00203 RCBC SAVINGS BANK, INC. 19 01-2004-00115 RCBC SECURITIES, INC. 20 01-2004-00116 REGINA CAPITAL DEVELOPMENT CORPORATION 21 01-2008-00204 RIZAL COMMERCIAL BANKING CORPORATION 22 01-2008-00174 ROBINSONS BANK CORPORATION 23 01-2004-00117 RTG & CO., INC. 24 01-2004-00118 S.J. ROXAS & CO., INC. 25 01-2004-00109 SALISBURY BKT SECURITIES CORPORATION 26 01-2004-00120 SARANGANI SECURITIES, INC. 27 01-2008-00236 SB CAPITAL INVESTMENT CORPORATION 28 01-2004-00121 SB EQUITIES, INC. 29 01-2004-00122 SECURITIES SPECIALISTS, INC. 30 01-2008-00206 SECURITY BANK CORPORATION SESSION 7: 07 November 2017, 9:30-11:00 AM # CRN COMPANY NAME 1 01-2004-00124 SINCERE SECURITIES CORPORATION 2 01-2004-00125 SOLAR SECURITIES, INC. 3 01-2008-00244 STANDARD CHARTERED BANK 4 01-2004-00126 STANDARD SECURITIES CORPORATION 5 01-2012-00276 STAR ALLIANCE SECURITIES CORPORATION 6 01-2008-00213 STATE INVESTMENT TRUST, INC. 7 01-2008-00250 STERLING BANK OF ASIA, INC. (A SAVINGS BANK) 8 01-2004-00127 STRATEGIC EQUITIES CORPORATION 9 01-2004-00128 SUMMIT SECURITIES, INC. 10 01-2004-00157 SUN LIFE ASSET MANAGEMENT COMPANY, INC. 11 01-2010-00257 SUNSECURITIES, INC. 12 01-2004-00129 SUPREME STOCKBROKERS, INC. 13 01-2004-00130 TANSENGCO & COMPANY, INC. 14 01-2004-00131 THE FIRST RESOURCES MANAGEMENT AND SECURITIES CORPORATION 15 01-2008-00245 THE HONGKONG AND SHANGHAI BANKING CORPORATION LTD.-PHILIPPINE BRANCH 16 01-2013-00277 TIMSON SECURITIES, INC. 17 01-2004-00133 TOWER SECURITIES, INC. 18 01-2008-00253 TRADITION FINANCIAL SERVICES PHILIPPINES, INC. 19 01-2004-00134 TRANS-ASIA SECURITIES, INC. 20 01-2004-00135 TRI-STATE SECURITIES, INC. 21 01-2004-00136 TRITON SECURITIES CORPORATION 22 01-2005-00168 TULLETT PREBON (PHILIPPINES), INC. 23 01-2008-00238 UBS INVESTMENTS PHILIPPINES, INC. 24 01-2004-00137 UBS SECURITIES PHILIPPINES, INC. 25 01-2008-00208 UCPB SAVINGS BANK, INC. 26 01-2004-00138 UCPB SECURITIES, INC. 27 01-2004-00139 UNICAPITAL SECURITIES, INC. 28 01-2008-00239 UNICAPITAL, INC. 29 01-2006-00246 UNION BANK OF THE PHILIPPINES 30 01-2008-00246 UNIONBANK OF THE PHILIPPINES SESSION 8: 07 November 2017, 1:30-3:00 PM # CRN COMPANY NAME 1 01-2008-00247 UNITED COCONUT PLANTERS BANK 2 01-2004-00140 UOB-KAY HIAN SECURITIES (PHILIPPINES), INC. 3 01-2004-00141 UPCC SECURITIES CORPORATION 4 01-2004-00081 VALUE QUEST SECURITIES CORPORATION 5 01-2016-00281 VC SECURITIES CORPORATION 6 01-2004-00142 VENTURE SECURITIES, INC. 7 01-2008-00251 VICSAL INVESTMENT, INC. 8 01-2004-00143 VICSAL SECURITIES & STOCK BROKERAGE, INC. 9 01-2008-00252 VSEC.COM, INC. 10 01-2004-00144 WEALTH SECURITIES, INC. 11 01-2004-00145 WESTLINK GLOBAL EQUITIES, INC. 12 01-2004-00146 WONG SECURITIES CORPORATION 13 01-2004-00147 YAO & ZIALCITA, INC. 14 01-2004-00148 YAPSTER E-TRADE, INC. 15 01-2004-00149 YU & COMPANY, INC.