APP.

N-1
17.03.31

LIST OF REPORTS REQUIRED FROM NON-BANK FINANCIAL INSTITUTIONS

(Appendix to Sec. 4162N)

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-1 4162N Report on Financial Assets Designated/ Mandatorily Monthly 15 business days after end SDC
(Cir. No. 708 dated Measured at fair Value Through Profit or Loss of reference month
01.10.11)

A-1 4162N Reports Relative to the Initial Adoption of PFRS 9 One-time 15 business days after end -do-
(Cir. No. 708 dated of calendar/fiscal year from
01.10.11) the date of initial
application of PFRS 9

Supplementary Report on Early Adoption of PFRS 9 Monthly 15 business days after end
of reference month

A-2 BSP-7-26-02-A 4162N Consolidated Statement of Condition (CSOC) -do- 15 business days after end E-mail to SDC @
(M-008 dated 02.14.08 of reference month sdcnbfi@bsp.gov.ph
and Cir. No. 880 dtaed
05.22.15, Cir. No. 883
dated 07.10.15, M-028
dated 07.31.15,
M-029 dated 09.14.15,
M-030 dated 09.14.15,
M-031 dated 09.14.15,
M-032 dated 09.14.15
and M-033 dated
09.14.15)

BSP 7-26-03B Consolidated Statement of Income and Expenses -do- -do- -do-
(CSIE)

Control Prooflist -do- -do- SDC

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-2 BSP-7-26-02 4162N Schedule of Loans/Receivables, Trading Account -do- -do- Original - Appropriate
Schedule 1 (Cir. No. 883 dated Securities (TAS) - Loans and Underwritten Debt department of the SES
(His only) 07.10.15) Securities Duplicate to SDC or e-mail

Separate report for Head Office

and each Branch; and a
Consolidated report for Head
Office and Branches

A-2 BSP-7-26-02 4162N Schedule of Loan/Receivables and Trading Account Monthly 15th business days from Original - Appropriate
Schedule 1 Securities - Loans end of reference month department of the SES
Duplicate - SDC or e-mail

Separate report for Head Office

and each Branch; and a
Consolidated report for Head
Office and Branches

A-2 BSP-7-26-02 4162N Schedule of Trading Account Securiries - -do- -do- -do-
Schedule 2 Investments, Available for Sale Securities and
(FCs only) Investment in Bonds and Other Debt Instruments
(IBODI)

A-2 BSP-7-26-02 4162N Interest Rates and Maturities Matching -do- -do- -do-
Schedule 3

A-2 BSP-7-26-02 4162N Remaining Maturities of Selected Accounts -do- -do- Original - Appropriate
Schedule 4 department of the SES
Duplicate to SDC or e-mail

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-2 BSP-7-26-02 4162N Schedule of Bills Payables and Bonds -do- -do- Original - Appropriate
Schedule 5 department of the SES
Duplicate to SDC or e-mail

A-2 BSP-7-26-02 4162N Data on Firm's Businesses -do- -do- Original - Appropriate
Schedule 6 department of the SES
(FCs only) Duplicate to SDC or e-mail

A-2 BSP-7-26-03 4162N Statement of Income and Expenses -do- -do- -do-

A-2 BSP-7-26-24 4162N Credit and Equity Exposures to Quarterly 15th business day from end Electronic submission/diskette -
(Rev. Aug. 2003 per CL Individuals/Companies/Groups Aggregating of reference quarter SDC
dated 08.06.03) P 1.0 Million and above
Fax to SDC

A-2 Unnumbered 4101N Report on required and available reserves on Peso- Weekly 3rd business day following Original - Appropriate
(no prescribed denominated Common Trust Funds (CTFs), such reference week department of the SES
form) other managed peso funds and TOFA-Others Duplicate to SDC or
(Entities with cc:mail/electronic transmission
Trust/Fund
Management
Only)

A-2 Unnumbered 4101N Report on Suspicious Transactions As transaction 10th business day from date Original and duplicate - Anti-
(Rev. May 2002 as occurs of transaction/knowledge Money Laundering Council
amended by Cir. No. (AMLC)
612 dated 06.03.08) 10th business day from date
Report on Covered Transactions As transaction of transaction/knowledge -do-
occurs

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-2 Unnumbered 4162N Financial Reporting Package for Trust Institutions Quarterly 20th business day from end SDC
Schedules of reference quarter sdcnbfi-frpti@bsp.gov.ph

A-2 Unnumbered (Cir. No. 609 dated - Balance Sheet

05.26.08 as amended
by M-2008-022 dated - A1 to A2 Main Report
06.26.08 and Cir. No.
880 dated 05.22.15) - B to B2 Details of Investments in Debt
and Equity Securities

- C to C2 Details of Loans and

Receivables

- D to D2 Wealth/Assets/Fund
Management - UITF

-E Fiduciary Accounts

- E1 to E1b Other Fiduciary Services - UITF

- Income Statement Quarterly 20th business day from end SDC

of reference quarter sdcnbfi-frpti@bsp.gov.ph
- Control Prooflist

- E2, E2a, E2b - report by the PERA Administrator Quarterly 20th business day from end -do-
on Personal Equity and Retirement Account of reference quarter

4109N.16 Waiver of Confidentiality of Information under As transaction

Sections 2 and 3 of R.A. No. 1405, as amended occurs

A-2 4511N List of operating, accredited and closed/delisted Quarterly 10 business days after end Integrated Supervision
(Cir. No. 942 dated RTC/MC/FXD offices of reference quarter Department (ISD) I
01.20.17)

A-2 4511N Audited financial statements Annually Not later than 30 June -do-
(Cir. No. 942 dated following the reference
01.20.17) calendar year

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-2 4511N Reports on the total value of money Quarterly 10 business days after end Supervisory Data Center (SDC)
(Cir. No. 942 dated changing/foreign exchange transaction of reference quarter
01.20.17)

A-2 4511N Reports on the total value of foreign remittance -do- 10 business days after end -do-
(Cir. No. 942 dated transactions of reference quarter
01.20.17)

A-3 Unnumbered 4162N Report on Borrowings of Bangko Sentral Personnel -do- 15th business day after end Original to SDC
(CL-2007-050 dated of reference quarter
10.04.07 and CL-2007-
059 dated 11.28.07)

A-3 Unnumbered 4301N.16 Credit Card Business Activity Report -do- 15th banking day of sdc-ccbar@bsp.gov.ph
(Cir. No. 812 dated reference quarter
09.23.13, M-060 dated
12.10.13 and M-002
dated 03.10.16)

B SES II Form 15 4145N Biographical data of Directors/Officers with ID Upon every 20th business day from date Hard copy to appropriate
(NP08-TB) (Cir. Nos. 758 dated picture election/re- of election of the department of the SES
05.11.12, election or directors/meeting of the
M-2008-024 dated appointmnet/ board of directors in which
07.31.08 and 887 promotion or if the officers are
dated 10.07.15) - If submitted in CD form - Notarized first page of change in name appointed/promoted
each of the directors'/officers' Biographical Data or residential
saved in CD and control prooflist address occurs

- If sent by electronic mail - Notarized first page of 20th business day from date
Biographical or Notarized list of names of the change of name or
Directors/Officers whose Biographical data were residential address occurred
submitted thru electronic mail to be faxed to SDC

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

B 4145N Duly accomplished and notarized authorizarion Upon election 20th business day from date Hard copy to appropriate
(Cir. Nos. 758 dated form for querying the Bangko Sentral watchlist files or appointment/ of election of the department of the SES
05.11.12 and 887 promotion as directors/meeting of the
dated 10.07.15) first time board of directors in which
director/officer the officers are
within an FI appointed/promoted

B Unnumbered 4145N List of Members of the Board of Directors and Annually 20th business day from Appropriate department of the
(Cir. Nos. 758 dated Officers annual election of the board SES
05.11.12 and 887 of directors
dated 10.07.15)

B Unnumbered 4162N Board Resolution on NBFIs signatories of reports As authorized 3rd business day from date
submitted to Bangko Sentral of resolution

General Information Sheet Annually 30th business day from Drop Box - SEC Central
annual stockholders' Receiving Section
meeting Duplicate - Bangko Sentral

B Forms I and II (M-031 dated 09.11.09 Report on Electronic Money Transactions Quarterly 15th business day after end e-mail - sdcothers-
Schedules 1 to 3 and Cir. No. 649 dated of reference quarter emoney@bsp.gov.ph
03.09.09) Quarterly Statement of E-Money Balances and hard copy - SDC
Activity - Volume and Amount of E-Money
Transactions
Quarterly Statemtn of Liquidity Cover

Schedules
1 - E-Money Balances
2 - Bank Deposits
3 - Government Securities and Others

Unnumbered 4196N.8 IT Risk Profile Report Annually 25 calendar days after end e-mail at sdcnbfi-
(Cir. No. 808 dated of reference year itprofile@bsp.gov.ph
08.22.13)

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 APP. N-1
17.03.31

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

Unnumbered 4512N.8 Audited financial statements of VCs (audited by any Annually Not later than 30 June As required by the appropriate
(Cir. No. 944 dated of the Bangko Sentral-selected external auditors) following the reference department of the SES
02.06.17) calendar year

Unnumbered 4512N.8 Quarterly Report on Total Volume and Value of Quarterly Ten (10) business days from -do-
(Cir. No. 944 dated VCs transacted end of reference quarter
02.06.17)

Unnumbered 4512N.8 List of operating offices and websites of VCs -do- Ten (10) business days from -do-
(Cir. No. 944 dated end of reference quarter
02.06.17)

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