Date Time Repudlic of the Philippines Department of Finance, Securities And Exchange Commission SEC Building, EDSA Mandaluyong City Economie Research and Training Department Seminar on Certified Securities Representative 17, 18 and 20 February 2015 : 8:00 a.m. to 5:00 p.m. Venue : 12/F, SEC Multi-Purpose Hall a How to Register Register personally or through your authorized representative with Ms. Abigail Camus at the 10/F, Economics Research and Training Department (ERTD). Proceed to Ms. Divina Garsuta at the 10/F, Economic Research and Training Department (ERTD), for the issuance of your Payment Assessment Form (PAF). Registration fee is P5, 500.00 and is non-refundable. Pay to the cashier at the ground floor. Aside from cash payment, we also accept manager’s/cashier's check payable to the Securities and Exchange Commission. After payment, return to Ms. Garsuta, 10/F-ERTD and present a photocopy of your official receipt and PAF for proper documentation Deadline for registration is on or before 5:00 pm, Friday, 13 February 2015. We can only accommodate 60 participants. Registration is on a first-come, first served basis. For your questions/clarifications, please contact Ms. Abigail Camus at telephone number 584-7256. Noted:. Virgi df Salentes: Director, ERTD Note: seminar will February 19, 2015 is Chinese New year: Second session of the "e moved on February 17, 2015 Tuesday.PROGRAM CERTIFICATION SEMINAR FOR PROSPECTIVE CERTIFIED SECURITIES REPRESENTATIVE February 17,18, and 20 2015 DATE/TIME. February 17,2015, Tesla MORNING 7:30-8:00 Registration ‘Topics/Speakers FUNDAMENTALS OF SECURITIES EQUITIES | + Dir. Ferdinand B, Sales Company Registration and Monitoring Department - SEC 10200-10515 COFFEE BREAK DEALING WITH THE INVESTING PUBLIC II: (Fraud and Manipulation) ‘© Assistant Director Oliver ©. Leonardo Enforcement & Investor Protection Department ~ SEC LUNCH BREAK 100-118 Registration 3:00) LAWS, RULES AND REGULATION Il: Securities Registration ‘+ Atty. Vermon Filio Markets & Securities Regulation Department ~ SEC 3:00-3:15 COFFEE BREAK FUNDAMENTALS OF SECURITIES EQUITIES IT © Mr, PeterAnthony D, Bautista Vice President. Financial Markets Group First Mateo Investment Corp. 7:30-8:00 Registration 8:00 ECONOMICS, SECURITIES ANALYSIS AND MARKET THEORIES = Ms. April Lynn Lee Tan, CFA Vice President & Head of Research Citiseconline com. Ine 10200-10515 (COFFEE BREAK1:00-1:00 LUNCH BREAK AFTERNOON 1:00-1:15 Registration 1:15-3:00 LAWS, RULES AND REGULATION Il: Securities Registration ‘+ Atty. Vermon Filio Markets & Securities Regulation Depariment — SEC 315-500 | FUNDAMENTALS OF SECURITIES EQUITIES IT = Me, Peter Anthony D, Bautista President, Financial Markets Group First Metro Investment Corp. | Rebreary Friday MORNING 7:30-8:00 8:15-10:00 100 Registration DEALING WITH THE INVESTING PUBLIC Ii: (SRC Rules on Business Conduct) ‘+ Director Vicente Graciano P. Fetizmenio, Jr, | Ms es Regulation Department ~ SEC COFFEE BREAK Hoisi300 LAWS, RULES AND REGULATIONS If Regulatory Framework for | Securities Borrowing and Lending (SIL) | + Director Vicente Graciano P. Felizmenio, Jr | Markets & Securities Regulation Department ~ SEC Haare LUNCH BREAK | AFTERNOON ew.2:30 CODE OF CODUCT FOR TRADERS AND SALESMAN + Ms. Grace m. Calubaqui AVP, Sungillance Department - CMIC 20-400 TRADING IN THE PHILIPPINE STOCK EXCHANGE + Ms. Rachelle C. Blanch VP. Market Operation Division | __ Philippine Stock Exchange, Inc 4:00-5:30 CLEARING AND SETTLEMENT © Ms. Renee D. Rubio Chief Operating Officer ‘Securities Clearing Corporation of the Philippines