2020
ENFORCEMENT AND INVESTOR PROTECTION DEPARTMENT
| TO | : | (1) All Securities Brokers and Dealers, Investment Houses, Securities Underwriters, Government Securities Eligible Dealers, Investment Companies/Mutual Fund, Investment Company Advisers, and Mutual Fund Distributors |
| (2) All Financing Companies and Lending Companies with More Than 40% Foreign Participation in Their Voting Stock or with Paid-up Capital of P10M or More |
NOTICE
The Commission will be conducting webinars for officers and directors of SEC covered persons as part of its OUTREACH PROGRAM to enhance their awareness and understanding of their Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT) obligations under the Anti-Money Laundering Act, as amended. The webinar particulars are as follows: HTcADC
DATE | TOPIC |
20 November 2020 | • Institutional Risk Assessment (IRA) • AML/CFT Risk Rating System (ARRS) |
27 November 2020 | • Money Laundering and Terrorist Financing Prevention Program (MTPP) • Targeted Financial Sanctions (TFS) |
In view thereof, all concerned are directed to send their company details (Name of company, email address and authorized contact person) to [email protected] for coordination purposes on or before 13 November 2020.
For compliance.
