Application Form

SEC application form for financing company head office

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GENERAL INSTRUCTIONS
1. This Application Form shall be used to register financing company under Republic Act
No. 8556 (The Financing Company Act of 1998).
2. This application shall be signed under oath by the Registrant’s President.
3. Four (4) copies of the complete application shall be filed, including exhibits and all other
papers and documents filed as part thereof.

APPLICATION OF:
Name of Corporation
Complete Address

Contact Number

For a Certificate of Authority under the Provisions of Republic Act No. 8556, the Financing
Company Act of 1998

Date

SECURITIES AND EXCHANGE COMMISSION
EDSA, Greenhills, Mandaluyong City
Metro Manila
Gentlemen:
Pursuant to the Rules and Regulations to Implement the Provisions of Republic Act No. 8556
(The Financing Company Act of 1998), we hereby apply for authority to operate as a financing company.
In support of this application, we are submitting herewith the following required documents/information
to form integral parts thereof:
1.
2.
3.
4.
5.

All documents required for registration as a corporation;
Information Sheet of registrant company;
Personal Information Sheet of each of the director and officer;
For Filipino director/s and officer/s, clearance from the National Bureau of Investigation (NBI);
For foreign director/s and officer/s, if any:
a. Photocopy of Alien Certificate of Registration or Immigration Certificate of Registration;
b. Photocopy of passport showing valid visa or stay in the Philippines; and
c. Clearance from the Bureau of Immigration (BI)
6. Clearance from the Bangko Sentral ng Pilipinas (BSP), if the applicant financing company is a
subsidiary or affiliate of a bank and/or non-bank financial institution with quasi-banking license;
7. Manual on Corporate Governance
- If foreign participation in voting stock is more than 40%; or
- If total assets is PhP50M or more; or
- If commercial paper issuer, either exempt or registered
8. Manual on Anti-Money Laundering
- If foreign participation in voting stock is more than 40%; or
- If total assets is PhP10M or more
9. Board Resolution on the Adoption of the Manual/s;
10. Format of Disclosure Statement on Loan/Credit Transactions; and
11. Notarized Bank Certificate of Deposit of the Paid-up Capital.
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FINANCING COMPANY – HEAD OFFICE

We declare that the corporation has not accepted nor will it solicit, accept or take
investments/placements from the public without the required license from the SEC. In case of unauthorized
acceptance or solicitation of investments or borrowings, it shall immediately indemnify or return the
investments of persons upon presentation of valid claims.

Further, for our foreign stockholders (if any), we affirm that the country or state of foreign stockholders
allows Filipino citizens and or corporations to do financing business therein. The company shall also comply
with Rule 17.1.2 of the Amended Rules and Regulations of the Securities Regulation Code.

Name of Financing Company
By:

Signature of the President over Printed Name

REPUBLIC OF THE PHILIPPINES)
IN THE CITY OF
) S.S.
SUBSCRIBED AND SWORN TO before me this ____ day of ______________, _____ the above affiant
exhibiting to me his/her Tax Identification Number ___________ issued at ____________________ on
____________________.

NOTARY PUBLIC

Doc. No. __________
Page No. __________
Book No. __________
Series of __________

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