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TLIST-AF-P Tabular List of Applicants
SEC list of applicants for capital market professionals annual fee payments
Your Browser Doesn't Support Canvas. Showing the Text Content of the PDF Instead: SECURITIES AND EXCHANGE COMMISSION
APPLICATION FOR REGISTRATION RENEWAL
COMPLIANCE OFFICER (CO)
For the year
_
(To be accomplished
in 4 copies with cover sheet;
3 copies for SEC and 1 receiving copy for the applicant)
Middle Name
First Name
Last Name
TIN
Certificate
of Registration
No.
Current Residential Address
Name of Employer Firm
Rrm's Principal Business Address
street
Branch ID#
Street
Postal Code
Province
City
Office of Employment
City
Address
Province
Postal Code
..
The above-named employer hereby makes application for the renewal registration of
the above-named individual and hereby certifies that the information contained in
his/her most recent filing of SEC Form ICA-CO is true, correct, current, accurate and
complete. All registered Compliance Officers are required to update SEC Form ICACO information by submitting amendments wherever information on file becomes
inaccurate for any reason within seven (7) days of any change to the information
previously filed.
Printed Name/Signature
Staple applicant's
2x2 B&WID picture
(with signature and
printed name at the
back)
of Company
President
Printed Name / Signature of Applicant
Dote
Subscribed and sworn to before me this __
valid identity card
day of
issued at
201_. exhibited to me his/her
on
_
Notary Public
OocNo.
Page No .. __
Book No.
Series
1.
2.
3.
4.
~
~
~
~
Four sets of duly accomplished SEC Form ICA-RCO for Compliance Officer with original signatures of the applicant
with cover sheet;
Two pieces current 2x210 picture with the signature and printed name of the applicant affixed on the dorsal side of .
each 10 picture. The 10 pictures must be attached on the application form by stapling the 10 picture on the top edge
for easy inspection of the signature and printed name on its dorsal side;
Copy of previous license; and
Payment of renewal fee- PhP1.515.00
