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Request for Other Certifications
Type: | ||
A. | A company is registered with the Commission | |
B. | An individual is a holder of a secondary license/s such as Compliance Officer, Associated Person, Salesman, Fixed Income Market Salesman and Certified Investment Solicitor | |
C. | A company is authorized or permitted to sell securities registered with the Commission |
Procedures: | ||
1. | The requesting party shall prepare a letter addressed to the appropriate Head of the Operating Department requesting for a Certification with attached supporting documents, if necessary. | |
2. | The Executive Assistant/Clerical Staff of the Department, will prepare the Payment Assessment Form (PAF) and advise the requesting party to pay the corresponding Fee to the cashier. | |
3. | The requesting party shall return the proof of payment as well as the letter-request to the Executive Assistant/Clerical Support. | |
4. | The Executive Assistant of the Department shall forward the said request form and other attachments directly to the handling lawyer for processing of the Certification. | |
5. | Prior to the issuance of a Certification, if deemed appropriate, the handling lawyer, will prepare a Memo to other Department/s concerned requesting its input subject of the request. | |
6. | Upon receipt of the Memo from the other Department containing its input subject of the request, the handling lawyer will proceed with the preparation of a Certification and seek approval/signature of the Director to the Certification. | |
7. | The Executive Assistant shall release the Certification to the requesting party. |