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Corporations with Secondary Licenses

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Mutual Fund Distributor

DOCUMENT TYPE DESCRIPTION DUE DATE
SEC FORM MFD Registration Form/Amendment Form for Mutual Fund Distributors Within 7 days from the date of the occurrence of the event
SEC FORM ICA-T Notice for Termination of Certified Investment Solicitor or Compliance Officer of an Investment Company Adviser/Mutual Fund Distributor Not later than five (5) business days after the discontinuation of employment
SEC FORM GIS General Information Sheet Within 30 calendar days following the date of stockholder’s meeting per by-laws. If no meeting was held on that calendar year, on or before 30th of January of the following year.
*** AFS Audited Financial Statement Please refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number.
GFFS Special Form for Financial Statements In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.)

*** Note: No prescribed format