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    Phase 1 Coverage

    Uploaded by

    KMBH
    The document outlines the modules and topics covered in Phase 1 of the revised SEC Certification examination. It includes 6 modules that cover the fundamentals of securities, economic principles and market theories, securities regulation, corporate governance, risk management, and anti-money laundering. Some of the key topics discussed are the formation of corporations, classification of shares, regulation of market professionals and institutions, corporate officers and their responsibilities, money laundering prevention, and relevant laws and memorandums. The modules draw from sources like the Corporation Code, Securities Regulation Code, and Anti-Money Laundering Act of the Philippines.

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    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd

    Phase 1 Coverage

    Uploaded by

    KMBH
    31 views3 pages
    The document outlines the modules and topics covered in Phase 1 of the revised SEC Certification examination. It includes 6 modules that cover the fundamentals of securities, economic principles and market theories, securities regulation, corporate governance, risk management, and anti-money laundering. Some of the key topics discussed are the formation of corporations, classification of shares, regulation of market professionals and institutions, corporate officers and their responsibilities, money laundering prevention, and relevant laws and memorandums. The modules draw from sources like the Corporation Code, Securities Regulation Code, and Anti-Money Laundering Act of the Philippines.

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    The document outlines the modules and topics covered in Phase 1 of the revised SEC Certification examination. It includes 6 modules that cover the fundamentals of securities, economic principles and market theories, securities regulation, corporate governance, risk management, and anti-money laundering. Some of the key topics discussed are the formation of corporations, classification of shares, regulation of market professionals and institutions, corporate officers and their responsibilities, money laundering prevention, and relevant laws and memorandums. The modules draw from sources like the Corporation Code, Securities Regulation Code, and Anti-Money Laundering Act of the Philippines.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    31 views3 pages

    Phase 1 Coverage

    Uploaded by

    KMBH
    The document outlines the modules and topics covered in Phase 1 of the revised SEC Certification examination. It includes 6 modules that cover the fundamentals of securities, economic principles and market theories, securities regulation, corporate governance, risk management, and anti-money laundering. Some of the key topics discussed are the formation of corporations, classification of shares, regulation of market professionals and institutions, corporate officers and their responsibilities, money laundering prevention, and relevant laws and memorandums. The modules draw from sources like the Corporation Code, Securities Regulation Code, and Anti-Money Laundering Act of the Philippines.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 3

    SEC CERTIFICATION EXAMINATION MODULES AND TOPICS COVERED

    Under the Revised SEC Certification Programs

    PHASE 1
    MODULE TOPIC SOURCE
    MODULE 1:  Formation of Corporations Corporation Code of the Philippines
    FUNDAMENTALS  Classification of Shares link:
    OF SECURITIES  Rights of Stockholders https://www.sec.gov.ph/wp-
     Dividend Declarations content/uploads/2019/11/2019Le
     Definition of Securities gislation_CORPORATION-CODE-OF-
     Fixing of Records/Payment Dates THE-PHILIPPINES.pdf
     Qualified Buyers/Retail Buyers
     Market Professionals and Institutions Securities Regulation Code link:
    https://www.sec.gov.ph/wp-
    content/uploads/2019/11/2019Le
    gislation_RA-8799-Securities-
    Regulation-Code-2000.pdf

    and its 2015 Implementing Rules


    and Regulation (IRR) 2015:
    https://www.sec.gov.ph/wp-
    content/uploads/2019/11/2015-
    SRC-Rules-Published-in-Phil-Star-
    Manila-Bulletin-October-25-
    2015.pdf

    can be searched via google


    keywords: RA8799 of the
    Philippines
    MODULE 2:  Business Cycle
    ECONOMIC  Securities Analysis
    PRINCIPLES and  Portfolio Management
    MARKET  Financial Analysis
    THEORIES  Basic Economics
     Economic Indicators/Factors
     Different Business Cycle
     Demand and Supply
     Understanding Types of Financial Markets
     International Markets and Global Investing
     Analysis of Market Data
     Factors Affecting Portfolio Management
     Diversification
     Understanding Basic Financial Statements
     Financial Ratios
    MODULE 3:  Regulation of Securities (registration, exempt Securities Regulation Code link:
    SECURITIES transactions, exempt securities, Mandatory Tender https://www.sec.gov.ph/wp-
    REGULATION Offer (MTO), reportorial and other requirements) content/uploads/2019/11/2019Le
     Regulation of Market Professionals (licensing, gislation_RA-8799-Securities-
    monitoring, supervision, ethical standards) Regulation-Code-2000.pdf
     Regulation of Market Institutions (Exchanges, Over
    The Counter (OTC), Alternative Trading System (ATS), and its 2015 Implementing Rules
    Clearing Agency, Securities Depository, Transfer and Regulation (IRR) 2015:
    Agents) https://www.sec.gov.ph/wp-
     Enforcement of SRC Violations, Sanctions content/uploads/2019/11/2015-
    (administrative, civil, criminal), Cease and Desist SRC-Rules-Published-in-Phil-Star-
    Order, Settlement offers Manila-Bulletin-October-25-
    2015.pdf
    SEC CERTIFICATION EXAMINATION MODULES AND TOPICS COVERED
    Under the Revised SEC Certification Programs

    PHASE 1
    MODULE TOPIC SOURCE
     Exemptive relief, confidential treatment,
    international/regional cooperation (International
    Organization of Securities Commissions principles,
    etc.)
     International Organization of Securities Commissions
    Objectives and Principles of Securities Regulation
     SRC Rule 8, 9, 10, 24, 26, 28, 29, 30, 32, 34, 48, 52, 53,
    54, 58, 59
     OTC Rules-SEC Memo Circular No. 14, s. 2006
    MODULE 4:  Definition Revised Code of Corporate
    CORPORATE  Organisation for Economic Co-operation and Governance link:
    GOVERNANCE Development (OECD)/G20 Principles of CG https://www.sec.gov.ph/wp-
     Rights of Minority Shareholders (Best Practices) content/uploads/2019/11/Revise
     Board/Management Functions d-Code-CG.pdf
     Responsibilities of the Board as a Body/Individual
    Directors and
     Board Committees 2016_memo_circular_no.19.pdf
     Independent Directors/Qualifications/ (sec.gov.ph)
    Disqualifications/Qualities/Attendance to Board https://www.sec.gov.ph/wp-
    Meetings content/uploads/2019/11/2016_
     Corporate Officers and their Responsibilities memo_circular_no.19.pdf
     Section 38 of the Securities Regulation Code
    can be searched via google
     Coverage of Financing Companies by the Revised
    keywords: SEC Memorandum
    Code of Corporate Governance (MC No. 5, s. 2010)
    circular no. 6 series of 2009
     Term Limits for Independent Directors (MC No. 9, s.
    2011 par. 1)
    SEC Memorandum Circulars link:
     Amendment to the Revised Code of Corporate
    https://www.sec.gov.ph/sec-
    Governance (MC No. 9, s. 2014)
    issuances/memorandum-circulars/
     Template for Publicly-Listed Companies’ websites
    (MC no. 11 s.2014)
     Amendment to Rule 38.2.7 of the 2015 Implementing
    Rules and Regulation of the Securities Regulation
    Code (SRC) (MC No. 7, s. 2018)
     (1) Shareholders’ Approval on Any Change/s in the
    Company’s External Auditor; (2) Audit Committee
    Composed Entirely of Board Members (MC No. 8, s.
    2018)
    MODULE 5:  Fundamentals of RM
    RISK  RM Under SRC Rules
    MANAGEMENT  Definition of Risk
     Method of Identifying Risks
     Types of Risks
     Risk Management
     SRC Rule 30.2-Suitability Rule and Best Execution
    Rule
    MODULE 6:  Definition, Coverage Anti-Money Laundering Act
    ANTI-MONEY  Stages of ML link:
    LAUNDERING  Predicate Crimes https://www.sec.gov.ph/laws-
     Know-Your-Customer (KYC), Covered Transaction rules-decisions-and-
    Report (CTR)/Suspicious Transaction Report (STR), resolutions/anti-money-
    Record Keeping, Training laundering-act/
    SEC CERTIFICATION EXAMINATION MODULES AND TOPICS COVERED
    Under the Revised SEC Certification Programs

    PHASE 1
    MODULE TOPIC SOURCE
     International Cooperation/FATF/FIUs http://www.amlc.gov.ph/laws/mo
     Bank Inquiry/Forfeiture/Asset Freeze ney-laundering/2015-10-16-02-
     Penalties 50-56/republic-act-9160
     Composition and Functions of Anti-Money Laundering
    Council (AMLC)
     Jurisdiction over AMLC cases

    Note: Please refer to“The Corporation Code of the Philippines” and


    2015 Implementing Rules and Regulations of the Securities Regulation Code (RA 8799).

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