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AuF-002 Initial Application for Auditing Firm

SEC application of accreditation as auditing firm under SRC rule 68, as amended

Your Browser Doesn't Support Canvas. Showing the Text Content of the PDF Instead: Revised 2009
SECURITIES AND EXCHANGE COMMISSION

SEC FORM AuF-002
INITIAL APPLICATION FOR ACCREDITATION OF
AN AUDITING FIRM
Application for accreditation as auditing firm for:
(Please check appropriate box):

[

] Group A 1

[

] Group B 2

[

] Group C 3

[

] Group D 4

1. Name of Firm__________________________________________________________________________
2. SEC Certificate of Registration No. (if a registered partnership)________________________________
3. BOA/PRC Accreditation No:____________________________ Date Granted: _____________________
Expiration Date: ___________________
4. Business Address: ____________________________________________________________________
_____________________________________________________________________________________
Telephone No.: _________________________________ Fax No. _______________________________
5 . Information on Currently Employed Auditors and Signing Partner/s:
Full Name

Position

CPA Certificate
/License No.

SEC
Accreditation
Number*

Status of SEC
Accreditation

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
Full Name

Position

CPA
Certificate
/License No.

SEC
Accreditation
Number*

Status of SEC
Accreditation

* Indicate Group Category, i.e., A,B, C or D. If not yet accredited, so indicate and disclose covered companies by group
category including date of filing of application for accreditation. (Use separate sheet when necessary which must be certified
as true and correct.

Revised 2009
6. Affiliate Foreign CPA/Auditing Firm (if any)
Name of Foreign Firm

Country

Nature and Extent of
Relationship

7. Exhibits
i.

Copy of the Certificate of Accreditation issued by the Board of Accountancy (BOA). It
should include a copy of the list issued by BOA which indicates the names of the qualified
partner/s of the firm;

ii.

Quality Assurance Manual;

iii.

Copy of the firm's Audited Financial Statements (AFS) for the immediately preceding two (2)
years.

For firms availing of a mutual recognition of the accreditation of the Bangko Sentral ng Pilipinas (BSP)
and Insurance Commission (IC), as allowed under SEC Memorandum Circular No. 13 s. 2009, the
foregoing documents shall not be required, only the copy of certificate of accreditation issued by BSP or
IC shall accompany the application with the SEC.
8. 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.

______________________________________
Name and Signature of Managing Partner
Date: _________________________
Place:_________________________

JURAT
 
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