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ExA-001-R Renewal Application for External Auditor

SEC renewal application for accreditation of an individual external auditor under SRC rule 68, as amended

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SECURITIES AND EXCHANGE COMMISSION

SEC FORM ExA-001-R
RENEWAL APPLICATION FOR ACCREDITATION OF
AN INDIVIDUAL EXTERNAL AUDITOR
Renewal Application for accreditation as external auditor of
(Please check appropriate box):
[

] Group A 1

[

]

[

] Group C 3

[

]

2x2
Coloured Picture

Group B 2

Group D 4

1. Name of Applicant: ____________________________________________________________________
2. SEC Accreditation No. _____________________

Date Granted: _______________________
Expiration Date:______________________

3. Place & Date of Birth: __________________________________________________ Age: ____________
4. Business Address: _____________________________________________________________________
Telephone No. __________________________________ Fax No._______________________________
5. Education:
Course

Name of School

Year Finished/Honors
Received

Accountancy
Other Collegiate Course/s
Post-graduate

6. PRC License Number: ____________________

Date Granted _______________________
Expiration Date_______________________

7. BOA Accreditation No.: ____________________
(If applicant is a Partner of a Firm, indicate
Number of the Firm)

Date Granted ________________________
Expiration Date________________________

1

Group A (i) Issuers of registered securities which have sold a class of securities pursuant to a registration under Section 12 of the
Securities Registration Code (SRC) except those issuers of registered timeshares, proprietary and non-proprietary membership
certificates which are now covered in Group B; (ii) Issuers with a class of securities listed for trading in an Exchange; (iii) Public
companies or those which have total assets of at least Fifty Million Pesos (P50,000,000.00) or such amount as the Commission shall
prescribe, and having two hundred (200) or more holders each holding at least One Hundred (100) shares of a class of its equity
securities.

2

Group B (i) Pre-Need Companies; (ii) Issuers of registered timeshares, proprietary and non-proprietary membership certificates; (iii)
Investment Houses; (iv) Brokers and Dealers of Securities; (v) Investment Companies; (vi) Government Securities Eligible Dealers
(GSEDs); (vii) Universal Banks Registered as Underwriters of Securities; (viii) Investment Company Advisers; (ix) Clearing Agency and
Clearing Agency as Depository; (x) Stock and Securities Exchange/s; (xi) Special Purpose Vehicles registered pursuant to Special
Purpose Vehicle Act of 2002, and its implementing rules; (xii) Special Purpose Corporation registered under the Securitization Act of 2004
and its implementing rules; (xiii) Such other corporations which may be required by law to be supervised by the Commission.

3
4

Group C (i) Financing Companies; (ii) Lending Companies; (iii) Transfer Agents.

Group D Registered corporations which are mandated by other regulatory agencies to have an external auditor accredited by the
Commission, provided however that the Commission has been consulted on such requirement by the said agency and that it has agreed
on the terms thereof through a Memorandum of Agreement duly executed between the Commission and the regulatory agency.

Revised 2009

8. Clients Profile:
Name of
Corporate Clients

Period of
Engagement

Amount of Total Assets

9. Exhibits
i.

Copy of Certificate of Accreditation issued by BOA. In case of a partner of a firm, the certificate
should include a list issued by the BOA which indicates the names of the qualified partner/s of the
firm;

ii.

Copy of SEC previous Certificate of Accreditation;

iii.

Copy of certificates of participation in trainings and seminars as prescribed under Section
5.1(B)(ii) of the Circular;

iv.

In case there is change in any document submitted during the initial application for accreditation,
the amended/updated document should be submitted;

v.

Copy of the AFS of the applicant’s two (2) largest clients in terms of total assets.

10. Processing Fee
This application for accreditation has been submitted along with the payment of the prescribed fee in
the amount of ________________ under O.R. No. ________________
I hereby certify that the foregoing information are true and correct.

____________________________
Applicant’s Signature
Date: _________________________
Place:_________________________

JURAT
 
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