Republic of the Philippines - Securities and Exchange ...
REPUBLIC OF THE PHILIPPINES
SECURITIES AND EXCHANGE COMMISSION
SEC Form IH – 14 QPR
Submission: In Duplicate
Deadline: within forty-five (45)
days from the end
of each quarter
_____________________________________
Name of Investment House
___________________________________________________
Address
PROGRESS REPORT ON THE RESULTS OF OPERATIONS AND ACTIVITIES
For the quarter ended ______________
(Pursuant to P.D. 129, as amended, “The Investment Houses Law”)
A. UNDERWRITING:
1. Debt Issues
Nature of Type of Amount of Fees
Name of Issuer Commitment Placement Commitment Earned
2. Equity Issues (Stocks)
Nature of Type of Amount of Fees
Name of Issuer Commitment Placement Commitment Earned
B. PORTFOLIO MANAGEMENT SERVICES:
Amount of Fees
Nature of Account Type & No. of Clients Portfolio Earned
C. GOVERNMENT SECURITIES DEALERSHIP:
2.1 Outright Sales
Type of Security Volume/Value
2.2 Outright Purchases
Type of Security Volume/Value
D. FINANCIAL ADVISORY & CONSULTANCY SERVICES:
Nature of Services Client
E. LOAN PACKAGING/SYNDICATION:
Nature of Packaged Syndicated Account Client Term Amount of Portfolio
F. SELLING AGENCY ARRANGEMENTS: (Distribution of purely commercial papers and to be filled up by IHs without QB only)
Commercial Paper Serviced/Arranged:
Type of Serial # Issue Maturity End of Quarter
Name of Issuer CP CP Date Date Outstanding Bal.
Commercial Paper Held in Inventory:
1. Clean
Type of Serial # Issue Maturity End of Quarter
Name of Issuer CP CP Date Date Outstanding Bal.
2. Secured
Type of Serial # Issue Maturity End of Quarter
Name of Issuer CP CP Date Date Outstanding Bal.
G. LOAN PORTFOLIO:
Type Volume
H. OTHERS: (Please Specify)
e.g. 1. CP Brokering (applicable to IHs without QB)
2. CPs of other Issuers Negotiated/Assigned otherwise transferred.
Type of Serial # Issue Maturity End of Quarter
Name of Issuer CP CP Date Date Outstanding Bal.
2.1 Without Recourse
a. Short Term
b. Long Term
2.2 With Recourse
a. Short Term
b. Long Term
OATH
REPUBLIC OF THE PHILIPPINES )
CITY OF ____________________ ) S.S.
I, _____________________, of the above-mentioned corporation, do solemnly swear that all matters set forth in the above report are true and correct to the best of my knowledge and belief.
_________________________
SUBSCRIBED AND SWORN TO BEFORE ME this ________ day of January affiant exhibiting to me Community Tax Certificate No. ____________________ issued at ___________________ on ____________________.
NOTARY PUBLIC
Doc. No. _______
Page No._______
Book No._______
Series of _______
................
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