CORPORATE GOVERNANCE AND FINANCE DEPARTMENT

NOTICE
TO : INVESTMENT COMPANIES, REGISTERED ISSUERS OF
PROPRIETARY AND NON-PROPRIETARY SHARES/
TIMESHARES, PUBLIC COMPANIES, CORPORATE
GOVERNANCE INSTITUTIONAL TRAINING PROVIDERS AND
PUBLICLY-LISTED COMPANIES UNDER THE SUPERVISION
OF THE CORPORATE GOVERNANCE AND FINANCE
DEPARTMENT (CGFD)

SUBJECT : OPTIONS FOR THE SUBMISSION OF REPORTS,

APPLICATIONS AND OTHER DOCUMENTS DURING THE
EFFECTIVITY OF ALL COMMUNITY QUARANTINE IMPOSED
DUE TO COVID-19

DATE : 24 JUNE 2020

In light of the imposition of Enhanced Community Quarantine (ECQ), Modified

ECQ and General Community Quarantine (GCQ) in the National Capital Region due
to the COVID-19 pandemic and the continuous need to comply with social distancing
requirements and other public health measures in the receiving, processing and
submission of documents, the covered companies are hereby advised to file or
submit their reports, applications, requests, compliance and other documents to the
Commission, through ANY of the following means:

1. Via courier services only - Printed or hard copies of documents with wet
signature and proper notarization may be sent through courier or Philippine
Postal Corp. using the SEC Express Nationwide Submission (SENS) facility.

Number of copies – Two (2) original copies must be submitted if the company
opts to have a return copy. If only one copy is submitted, this shall be retained
by the Information Communication Technology Department (ICTD) for
barcoding and microfilming.

Printed or hard copies of documents shall be deemed to have been filed on

the date they were received by the courier. Such date must clearly appear in
the label or packaging of the courier.

The procedure is as follows:

a. Log on www.secexpress.ph/sens

1
 b. Accomplish, print and sign the SENS Form, which must be enclosed
with the documents to be submitted in one envelope.

c. Bring the documents to the nearest courier and pay the corresponding
fee.

2. Via electronic mail only – Scanned copies of the printed or hard copies of
documents with wet signature and proper notarization may be sent in Portable
Document Format (PDF) to the CGFD and ICTD through email at the
following addresses:

Item Examples Addressee

Documents  Registration Statement CGFD Account
which require (SEC Form 12-1) (cgfd@sec.gov.ph)
payment (filing/  Application for
processing License to Act as
fees) Investment Company
(SEC ICA Form 7-A)
 Information Statement
(SEC Form 20-IS)
 Tender Offer Report
(SEC Form 19-1)
 Request for
Confidentiality
 Petition for Voluntary
Revocation
 Exemptive Relief and
other Requests for
Exemption
 Request for Exemption
from Speaker
Accreditation on CG
Trainings
 Request for approval
of In-house CG
Trainings
 Application for
Accreditation as
Corporate Governance
Institutional Training
Provider (ITP)
 Application for
Renewal of
Accreditation as CG-
ITP
Documents  Annual Report (SEC ICTD Account
which do not Form 17-A) ictdsubmission@sec.gov.ph
require  Quarterly Report
payment (filing/ (SEC Form 17-Q) and copy-furnish:
processing  Current Report (SEC
fees) Form 17-C) CGFD Account
 Monthly Sales and cgfd@sec.gov.ph
Redemption Report of
Investment
Companies
 Beneficial Ownership
Reports (SEC Form
18-A or 18-AS and
SEC Form 23-A/23-B)
 ITP’s Advance Report
of CG Trainings
(without request for
exemption from
speaker accreditation)
 Completion Reports
(of CG-ITPs)
 Integrated Annual
Corporate
Governance Report (I-
ACGR)
 Material Related Party
Transactions Policy
 Manual on Corporate
Governance for Public
Companies and
Registered Issuers
 Advisement Report on
Material Related Party
Transactions
 Corporate Secretary’s
Certificate and
Compliance Officer’s
Certificate
 Company’s letter-
reply to/ compliance
with the Department’s
letters and orders
 Reply to show cause/
comment/ advisement
letter
 Other requests or
correspondence
Unless otherwise required by the Commission, the submission of documents
through email shall constitute full and official submission such that the
covered company shall no longer be required to file the hard copies,
provided all the requirements for each type of document are complied with.

I. For Documents Requiring Notarization

a. A scanned copy of the document duly notarized and

containing the necessary physical/ wet signatures without
the need of a notarized certification; and
b. Filing fee, if applicable.

Examples: Annual Report (SEC Form 17-A) including Statement

of Management’s Responsibility; Current Report (SEC Form 17-
C) for the Notice of Postponement; Registration Statement (SEC
Form 12-1) Compliance Officer’s Certificate and I-ACGR

II. For Documents Not Requiring Notarization

a. A scanned copy of the document containing the necessary

physical/ wet signatures;
b. Notarized certification; and
c. Filing fee, if applicable.

Examples: Quarterly Report (SEC Form 17-Q), Reply to show

cause/ comment/ advisement letter

Format - The format of the subject head shall be: COMPLETE NAME OF THE
COMPANY_TYPE OF DOCUMENT_DATE. The date shall refer to the date of
filing (Example: ABC Corporation_SEC Form 17-C_17June2020). Covered
companies that will submit via email must send one report at a time per
company for ease of monitoring.

Notarized Certification - This refers to the sworn certification of the person

who prepared the report or document on behalf of the covered company that
the information contained therein is true and correct. This certification must
be attached to the same email together with the subject document to be filed.
The “person” referred to in this Notice is the director, officer or someone who
is duly authorized by the company to file the document. All covered
companies are advised to use the attached template for the required
Notarized Certification.
Payment of Filing Fee - Documents such as Registration Statement (SEC
Form 12-1), Application for License to Act as Investment Company (SEC ICA
Form 7-A), Information Statement (SEC Form 20-IS), Tender Offer Report
(SEC Form 19-1) and other requests that needs pre-evaluation and/or subject
to processing fees, if filed online, shall only be considered officially received
 and complete upon payment of the filing fee. A covered company may request
for, and be issued, electronic copies of the Payment Assessment Form
(PAF) by sending a request therefor via email to cgfd@sec.gov.ph.
Date of Filing - Except for documents that need pre-evaluation and are
subject to processing fees, the scanned notarized documents shall be
deemed to have been filed on the date the email was sent to the CGFD
account only or to the ICTD account with copy furnished to CGFD account, as
the case may be, during working days. Documents filed on a holiday or
beyond 5:00PM on a working day shall be considered filed on the next
business day.
3. Via courier services AND electronic mail – A covered company may file
printed/ hard copies of documents through a courier of their choice or the post
office by accomplishing the SENS Form (Option 1) and, at the same time,
furnish the CGFD with a scanned copy of the documents with or without
payment through email at cgfd@sec.gov.ph (Option 2).

In this case, documents shall be deemed to have been filed on the date they
were received by the courier. The scanned copy emailed to the CGFD shall
serve as notification only for the submission of the document. The document
filed through courier or mail shall be considered as the official submission.

Please be informed that the modes of submission provided under items (1)
and (5) of the previous notice issued by the CGFD on 08 June 2020 shall not be
strictly applied to the covered entities enumerated above. Therefore, any of the
three options in this Notice may also be availed of by the company. However,
covered companies can choose only one mode of filing in submitting their reports,
applications and other documents. For ease of reference, the link to the previous
notice is provided below:

http://www.sec.gov.ph/wpcontent/uploads/2020/06/2020NOTICE_CGFD_INV
ESTMENT-COMPANIES-REGISTERED-ISSUERS.pdf

All inquiries pertaining to CGFD matters and application/s shall be sent via
email (cgfd@sec.gov.ph). You can also reach the CGFD at telephone numbers
8818-5476 and 8818-5952.

This Notice shall take effect beginning 24 June 2020 and shall be followed
until further notice.

Please be guided accordingly.

 Certification

I ___________ (name and position) of _________ (company name) with SEC registration
number ___ with principal office at ______, on oath state:

1) That on behalf of ______(company), I have caused this _________ (document) to be

prepared;
2) That I read and understood its contents which are true and correct of my own
personal knowledge and/or based on true records;
3) That the company ___ (state name of company) will comply with the requirements
set forth in SEC Notice dated ____ for a complete and official submission of reports
and/or documents through electronic mail; and
4) That I am fully aware that documents filed online which requires pre-evaluation
and/or processing fee shall be considered complete and officially received only upon
payment of a filing fee.

IN WITNESS WHEREOF, I have hereunto set my hand this ___________ day of

_____________________, 20_____.

__________________________
Affiant

SUBSCRIBED AND SWORN to before me this _____day of__________,20____.

NOTARY PUBLIC