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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