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Annex A Notice
SEC publication of notice of filing registration statement
Your Browser Doesn't Support Canvas. Showing the Text Content of the PDF Instead: Revised 2009
SECURITIES AND EXCHANGE COMMISSION
SEC FORM AuF-002-R
RENEWAL 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 Accreditation No.__________________________ Date Originally Granted____________________
3. SEC Certificate of Registration No. (if a registered partnership) _______________________________
4. BOA/PRC Accreditation No. __________________________ Date Granted: _____________________
Expiration Date:__________________
5. Complete Address: ____________________________________________________________________
_______________________________________________________________________________________
Telephone No.: _________________________________________Fax No. _______________________
6. 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 whether under Group A, B, C or D
7. Affiliated Foreign CPA/Auditing Firm (if any)
Name of Foreign Firm
Country
Nature and Extent of
Relationship
8. 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.
Copy of previous SEC Certificate of Accreditation;
iii.
In case there are changes in any document submitted during the initial application for accreditation,
the amended/updated documents should be submitted.
9. 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.
Date: _________________________
Place:_________________________
______________________________________
Name and Signature of Managing Partner
JURAT
