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IH-BO Registration for Branch Office Registration/ Amendment

SEC registration form for investment house branch office

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New Registration

Amendment

Application for Branch Office Registration/Amendment Thereto
Instructions:
This form is to be used to register branch offices with the Commission as required
under the Investment Houses Law. A branch shall mean every office of the
Investment House, other than its principal office, which transacts a business in
securities. The form is to be filed with the prescribed registration fee at the principal
office of the Commission. For new Investment House applicants, a copy of the form
shall be submitted with Form IH to register each branch location. The form is to be
used thereafter to register new branch locations promptly upon opening. It is to be
used also to amend the information on Form IH-BO whenever there is a change.
Name of Investment House:

TIN #:

Address of Principal Office:
Street: ___________________________________________________________________________
City : _________________________________________

Tel. #____________________

Name of Principal Officer: __________________________

TIN #____________________

Location of Branch Office:_____________________ : No. of Salespersons:__________________
Street: ______________________________________________________________________
City:

_________________________________________

Branch Manager: _________________________________
Registration Fee Enclosed: P___________

Tel. # ____________________
TIN # ___________________

Commission Use: ______________________________

Designated Signatory:
___________________________
(print)
____________________________
(sign)
____________________________
(date)

List of Exhibits to be filed with Form IH-BO/IH-BOA1
l.
A statement justifying the branch’s role in the promotion of the
head office’s investment banking operations, as well as its
contribution to the economic growth of the locality where the
proposed branch is to be located.
2.
A tentative program of the branch’s operation for one year,
including its investment direction and volume, product lines and
services to be undertaken, target volume of portfolio, etc.
3.
A one year projected statement of assets and liabilities and income
statement and the head office’s lastest audited financial
statements.
4.
Organizational chart/personnel complement. A description of the
tasks and major divisions of the branch offices, names of personnel
which should be firmly designated before it can be granted a
license to operate a branch office.
5.
Sworn bio-data of the branch manager, including NBI and police
clearances.
6.
Secretary’s certificate re: Board resolution authorizing the
establishment of the branch office;
7.
A copy of the favorable 2nd endorsement from the Bangko Sentral
ng Pilipinas, where applicable.
The prescribed registration fee of Pesos 10,100 should also be submitted
with the application.

1

Applicant does not have to include exhibits previously filed provided that a statement is provided
indicating the date such exhibit was filed with the Commission and confirmation that there have been no
changes in the information contained therein.
 
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