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 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO
• When seen from a distance, however, this logo is actually an elongated hexagon – the six sides of which
represent the core values of the SEC, viz: integrity, professionalism, accountability, independence,
initiative, and teamwork. Its shape imbues it with timeless integrity and allows it to exude elegant
1.
simplicity.

2. • When seen up close, on the other hand, this logo features silhouettes of three rising buildings
representing the corporations (left), the SEC (middle), and the investors (right) all of which are sitting atop
3. a perfectly chiseled diamond serving as the bedrock of stability, reliability, and strength; and whose four
sides correspond to the people that make up the agency working together towards the achievement of its
mission and its vision, viz: the leadership, the management, the technical specialists, and the support
4.
staff; the image of these buildings connotes the national economic development goal to which the agency
is mandated to contribute by way of its three critical roles, viz: corporate registrar, corporate regulator,
5. and champion of investor protection.

• That green is the color of choice for this logo is meant to convey associations with life, growth, prosperity,
and the use of three varying shades thereof that blend well together is a way of paying homage to the
Philippine flag whose three major colors converge on a common vertex.
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 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO
Principal Elements of the Logo
1. • Hexagon – The shape depicts the SEC’s core values. It also suggests balance, cohesion and
communication.
2.
• Three Rising Buildings – The bars represent the corporations, the SEC, and the investors.
3. The image of these buildings connotes the SEC’s contribution to national economic
development through its three critical roles, viz: corporate registrar, corporate regulator, and
4.
champion of investor protection.
5. • Diamond – Each side of the diamond corresponds to the people who make up the agency
working together towards the achievement of its mission and its vision, viz: the leadership, the
management, the technical specialists, and the support staff.
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 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO
Subliminal Elements of the Logo
• Shield – The logo is reminiscent of a shield symbolizing the protection that the SEC provides to investors.
1. • Gold Bars – The two bars on both sides are shaped as gold bars denoting wealth and prosperity, which are important
facets of the market it encompasses.
2.
• Philippine Flag – The three shades of the logo take their cue from the color pattern of the Philippine flag – to pay
homage to the Republic that the agency serves.
3.
Color

4. The SEC’s official color is green, which signifies life, growth and harmony. It also denotes money and finances.
Registration in the National Historical Commission of the Philippines
5.
The logo is duly registered in the National Historical Commission of the Philippines signed in April 2016 by its Chair, Hon.
Maria Serena I. Diokno, and by the Deputy Executive Secretary of the Office of the President, Hon. Michael P. Ong.
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 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO
VISION
By 2025, the SEC with its driven, highly-trained, agile and customer-centric team of professionals, equipped
1.
with digital technology and adaptive registration and data management systems, is the premier investor
2. champion and catalyst of a deep, broad and informed investor-based capital market and more empowered
business sector considered among the best in the Southeast Asian (SEA) Region.
3.

4. MISSION
We are the gateway to doing business in the Philippines. We provide a competitive and secure environment
5. for fast and easy company registration, efficient capital formation, broad investor participation and business
innovation.

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 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO
CORE VALUES
INTEGRITY
We are ethical, honest, fair, and sincere in our private and public lives.
1.
PROFESSIONALISM
2. We are capable and competent in performing our mandate, we excel in our fields of expertise, and we
possess high ethical principles and standards which are essential in providing timely, quality, and committed
public service.
3.
ACCOUNTABILITY
4. We are responsible for our actions and decisions.

5. TEAMWORK
We collaborate to achieve our common goals and tasks in a seamless and efficient manner.

INDEPENDENCE
We act without fear or favor, and render sound judgment in the performance of our duties and
responsibilities. SLIDESMANIA.C
 THE NEW SECURITIES AND EXCHANGE
COMMISSION LOGO

1.

2.

3.

4.

5.

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 HISTORY OF SEC
➜ The SEC was established on 26 Oct 1936 by virtue of the Commonwealth
HISTORY
Act No. 83 or the Securities Act. Its establishment was prompted by the
need to safeguard public interest in view of local stock market boom at
PURPOSE that time.
➜ Operations began on 11 Nov 1936 under the leadership of Commissioner
HOW DOES IT WORK? Ricardo Nepomuceno. The agency was abolished during the Japanese
occupation and was replaced with the Philippine Executive
WHO NEEDS TO BE REGISTERED? Commission.
➜ It was reactivated in 1947 With the restoration of the Commonwealth
WHAT TYPE OF BUSINESS……. Government.
➜ In 1981, the Commission was expanded to include two (2) additional
Compliance Officer’s commissioners and two (2) departments, one for prosecution and
Certification enforcement and the other for supervision and monitoring. Then on
5 This is a little review. 01 December 2000, the SEC was reorganized as mandated by R. A.
8799 also known as the Securities Regulation Code which gave
greater focus on the Commission’s role in developing the capital market,
fostering good corporate governance and enhancing investor protection.
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HISTORY
PURPOSE
HOW DOES IT WORK?
WHO NEEDS TO BE REGISTERED?
WHAT TYPE OF BUSINESS…….
Compliance Officer’s
Certification
5 This is a little review.
PURPOSE OF SEC
➜ The Securities and Exchange Commission (SEC) is the federal
government agency responsible for regulating and enforcing
federal securities laws.
➜ The SEC engages in numerous activities to protect investors
from fraud, unfair dealing, and insider trading.
➜ The laws and rules governing the securities industry are based
on the theory that all investors need the basic facts about an
investment in order to maintain a fair and efficient market for
the economy.
➜ The SEC seeks to achieve an equitable system by requiring
public companies to disclose certain financial and other
company information.
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HISTORY
PURPOSE
HOW DOES IT WORK?
WHO NEEDS TO BE REGISTERED?
WHAT TYPE OF BUSINESS…….
Compliance Officer’s
Certification
5 This is a little review.
ROLE OF SEC
➜ SEC is the registrar and overseer of the Philippine corporate sector; it
supervises more than 600,000 active corporations and evaluates the
financial statements (FS) filed by all corporations registered with it.
SEC also develops and regulates the capital market, a crucial
component of the Philippine financial system and economy. As it
carries out its mandate, SEC contributes significantly to government
revenues.
➜ With the growing number of corporations and other forms of
associations that SEC supervises and monitors, and given the evolving
nature of transactions where the corporate vehicle is being used to
defraud the investing public, as well as the ever dynamic character of
the capital market, SEC must progressively perform its critical role as
the prudent registrar and supervisor of the corporate sector and the
independent guardian of the capital market.
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HISTORY
PURPOSE
HOW DOES IT WORK
WHO NEEDS TO BE REGISTERED?
WHAT TYPE OF BUSINESS…….
Compliance Officer’s
Certification
5 This is a little review.
How the Securities and Exchange
Commission Work?
The SEC's primary function is to oversee organizations and
individuals in the securities markets, including securities
exchanges, brokerage firms, dealers, investment advisors, and
investment funds. Through established securities rules and
regulations, the SEC promotes disclosure and sharing of market-
related information, fair dealing, and protection against fraud. It
provides investors with access to registration statements,
periodic financial reports, and other securities forms through its
electronic data-gathering, analysis, and retrieval database.
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HISTORY
Who needs to be SEC registered?
PURPOSE

➜ Local and foreign investors that intend to

HOW DOES IT WORK
establish corporations, partnerships or
WHO NEEDS TO BE REGISTERED? associations in the Philippines

WHAT TYPE OF BUSINESS…….

Compliance Officer’s Certification

5 This is a little review.

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 SEC Registration in the Philippines
HISTORY
➜ SEC is the national government regulatory agency tasked with supervising

PURPOSE the corporate sector in the Philippines. It is also mandated to formulate

policies and recommendations on issues concerning the securities market
HOW DOES IT WORK as well as advise Congress and other government agencies on all aspects of
the securities market.  
WHO NEEDS TO BE REGISTERED?
➜ Registering your business with SEC is mandatory not only to legitimize its

WHAT TYPE OF BUSINESS……. juridical entity but also to enable it to legally engage in business, issue
receipts, trade financial assets, and be entitled to certain rights under the
Compliance Officer’s Certification country’s corporate and investment laws.
➜ Provided under Section 3 of Presidential Decree No. 902-A, the SEC has
5 This is a little review.
absolute jurisdiction, supervision, and control over all corporations,
partnerships, and associations that are grantees of primary franchises and
licenses or permits issued by the government.
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HISTORY
PURPOSE
HOW DOES IT WORK
WHO NEEDS TO BE REGISTERED?
WHAT TYPE OF BUSINESS…….
Compliance Officer’s Certification
5 This is a little review.
INITIAL APPLICATION REQUIREMENTS
1. Fully accomplished application form for external auditor (Initial: SEC
Form ExA-001 – Revised 2009; Renewal: SEC Form ExA-001-R – Revised
2009).
2. Certificate of Registration as public practitioner issued by BOA
3. Copies of certificates of participation in seminars/trainings (Initial: 60
CPE units; Renewal: 90 CPE units)
4. Quality Assurance Manual
5. In case of Group A, B, and C accreditation, notarized certification that the
applicant has fundamental knowledge of the regulatory requirements on
each of the other secondary licensees of the Commission.
6. Copies of Audited Financial Statements (AFS) of the applicant’s top two
(2) largest clients in terms of assets.
7. Certificate of Accreditation issued by the Bangko Sentral ng Pilipinas
(BSP) and Insurance Commission (IC) – for those availing the mutual
recognition of accreditation.
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HISTORY
PURPOSE
HOW DOES IT WORK
WHO NEEDS TO BE REGISTERED
WHAT TYPE OF BUSINESS…….
Compliance Officer’s Certification
5 This is a little review.
Types of Business Entities Required to
Register with SEC
➜ Stock Corporations (for-profit business entities which have
shareholders who hold ownership of the corporation through
shares of stock)
Types:
➜ Domestic Corporations
➜ Resident Foreign Corporations
• Branch Office
• Representative Office
• Regional Headquarters (RHQ)
• Regional Operating Headquarters (ROHQ)
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 Types of Business Entities Required to
HISTORY
Register with SEC
➜ Non-Stock Corporations (non-profit business entities which
PURPOSE do not issue stocks and distribute dividends to their members)

HOW DOES IT WORK Types:

➜ Non-Governmental Organizations (NGOs)
WHO NEEDS TO BE REGISTERED ➜ Foundations
➜ Associations
WHAT TYPE OF BUSINESS……. ➜ Religious Organizations

Compliance Officer’s Certification ➜ Partnerships (for-profit business entities established by two or

more persons who share management and profits among
5 This is a little review. themselves)
Types:
➜ General Partnership
➜ Limited Partnership
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HISTORY Compliance Officer’s Certification
Is there a penalty for non/late submission of the COC?
PURPOSE
Yes. There is a penalty for non/late submission of the COC. SEC
HOW DOES IT WORK Memorandum Circular No. 36, Series of 2020 provides for a
basic penalty of Php10,000.00 and a continuing monthly penalty
WHO NEEDS TO BE REGISTERED of Php1,000.00 until the COC is submitted.

WHAT TYPE OF BUSINESS…….

Compliance Officer’s Certification

5 This is a little review.

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HISTORY Compliance Officer’s Certification
Is there a penalty for incomplete signature or incorrect
PURPOSE signatory?

HOW DOES IT WORK Yes. There is a basic penalty of Php 5,000.00 and a continuing
monthly penalty of Php 500.00 for incomplete or incorrect signatory
WHO NEEDS TO BE REGISTERED of the COC. (SEC MC No. 36, Series of 2020)

WHAT TYPE OF BUSINESS…….

Compliance Officer’s Certification

5 This is a little review.

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HISTORY Compliance Officer’s Certification
Is there a penalty for misrepresentation/misinformation
PURPOSE and incomplete disclosure?

HOW DOES IT WORK Yes. For incomplete disclosure(s) in the COC, there is a basic
penalty of Php 5,000.00 and a continuing monthly penalty of Php
WHO NEEDS TO BE REGISTERED 500.00.

WHAT TYPE OF BUSINESS…….

For misrepresentation/misinformation on the disclosure(s) in the
COC, there is a basic penalty of Php 15,000.00 and a continuing
Compliance Officer’s Certification
monthly penalty of Php 1,500.00.
5 This is a little review.

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 Thank you!
MEMBERS:
Deserie Baloran Princess Kaye Balisi
Ericka Balunsat Richelle Bauit
Kyrene Vergara Rio Mamauag
Claire Joy Magumun
Imee Manzano
Mavi Genesis Matammu

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