SEC
Grade B
License facts
What it takes to hold this license, from the TrustFinance regulator database.
Requirements to get licensed
License requires
- Articles of Incorporation
- Founding Materials
- Business Plan
- Risk Control Plan
- Passport Details of Shareholders, Management, and Key Personnel
- Criminal Records Checks
- Diplomas Confirming Education in Finance
- Receipts and Invoices to Prove Income and Expenses for Tax Purposes
About this regulator
The Securities and Exchange Commission (SEC) of the Philippines is the governmental regulatory body responsible for supervising and regulating the securities industry and the capital markets in the Philippines. Established in 1936, the SEC is tasked with ensuring fair and transparent operations within the Philippine securities market, protecting investors, and maintaining confidence in the financial system. The SEC's primary functions include the registration and licensing of market participants such as securities brokers, dealers, and advisors; oversight of public companies to ensure compl...
Companies holding this license
4 companies on record. Each links to its verification page.
