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Annex A

1/
Documentary Requirements to be Submitted to BSP for the Election/Appointment of Directors/Officers of Banks, QBs, NBFIs with Trust Authority and Trust Corporations

Requiring BSP Confirmation2/ Not Requiring BSP Confirmation nor Monetary Board Approval Requiring Monetary Board Approval

Officers with rank of SVP and above Officers below the rank of SVP requiring a All other officers below the
Directors Compliance Officer and Trust Officer
(or equivalent ranks) different set of minimum qualifications 3/ rank of SVP4/

Letter-request for BSP confirmation signed Letter-request for BSP confirmation Letter-request for BSP approval
by authorized officer5/with an affirmative signed by authorized officer5/ with an signed by authorized officer5/ with
statement that the institution has affirmative statement that the an affirmative statement that the
conducted a fit and proper test on the institution has conducted a fit and institution has conducted a fit and
director/s concerned proper test on the officer/s proper test on the officer concerned
concerned

Secretarys Certificate attesting to the Secretarys Certificate attesting to Secretarys Certificate attesting to
resolution of the stockholders or board of the resolution of the board of the resolution of the board of
directors approving the election directors approving the appointment directors approving the appointment
6/ 7/

Bio-data with a photograph (2 x 2) taken Bio-data with a photograph (2 x 2) Bio-data with a photograph (2 x 2) Bio-data with a photograph (2 x 2)
within the last 6 months taken within the last 6 months taken within the last 6 months taken within the last 6 months

Certification under oath of the director Certification under oath of the Certification under oath of the
concerned that he/she possesses all the officer concerned that he/she officer concerned that he/she
qualifications and none of the possesses all the qualifications and possesses all the qualifications and
disqualifications to become a director none of the disqualifications to none of the disqualifications to
become an officer become an officer

For first-time directors in a particular For first-time officers to be subject


bank/QB/NBFI with trust authority/trust to BSP confirmation in a particular
corporation/banking group as defined in bank/QB/NBFI with trust
Subsec. X141.4/4141Q.4 of the authority/trust corporation/banking
MORB/MORNBFI: group as defined in Subsec.
X141.4/4141Q.4 of the
a. Copy of certificate of attendance in MORB/MORNBFI:
Corporate Governance seminar

b. Certification under oath that the


director has received copies of the
general responsibility and specific
duties and responsibilities of the
board of directors and of a director
Page 1 of 2
Requiring BSP Confirmation 2/ Not Requiring BSP Confirmation nor Monetary Board Approval Requiring Monetary Board Approval

Officers below the rank of SVP requiring a


All other officers below the
different set of minimum qualifications 3/ Compliance Officer and Trust Officer
Directors Officers with rank of SVP and above rank of SVP 4/

and that he/she fully understands and


accepts the same

c. Duly accomplished and notarized a. Duly accomplished and Duly accomplished and notarized
authorization form for querying the notarized authorization form authorization form for querying the
BSP watchlist file from the director for querying the BSP watchlist BSP watchlist file from the officer
concerned file from the officer concerned concerned

For independent directors, certification under


oath that he/she is an independent director as
defined in BSP regulations

For re-elected directors, Secretarys Certificate


on the attendance by the director concerned
to the board meetings held for the last 12
months covering the term of service,
indicating percentage of attendance to board
meetings

Brief description of his/her duties and Brief description of his/her duties and Brief description of his/her duties and
responsibilities responsibilities responsibilities

Alien Employment Permit issued by the Alien Employment Permit issued by the
Department of Labor and Employment Department of Labor and Employment
for foreigners appointed as officers for foreigners appointed as officers

1/ To be submitted within ten (10) banking/business days from date of election/re-election/appointment/promotion to the appropriate department of the SES. For interlocks requiring Monetary Board approval, the following shall be
submitted:(a) Letter-request for Monetary Board approval with justification; and (b) Bio-data.
2/Including those exempted from the required BSP confirmation as provided in Subsec. X141.4/4141Q.4 of the MORB/MORNBFI and Item 12 of Section 9 of Circular No. 710 dated 19 January 2011 for trust corporations.
3/ E.g., Internal Auditor, Security Officer, Head/In-Charge of E/FCDU Operations, and Head/In-Charge of Import and Export Financing Operations (for TBs),
4/ No documentary requirements to be submitted to the BSP
5/ Authorized signatory is the President of the institution, except for appointment of President, in which case the authorized signatory shall be the Chairman of the Corporate Governance Committee or of the Board of Directors, as may
be applicable. For those exempted from the required BSP confirmation as provided in Subsec. X141.4/4141Q.4 of the MORB/MORNBFI and Item 12 of Section 9 of Circular No. 710, submit letter-notice to the BSP, in lieu of letter-
request for BSP confirmation, signed by the aforementioned authorized officer with an affirmative statement that the institution has conducted a fit and proper test on the director/officer concerned.
6/ In case of foreign bank branches, consularized letter of appointment of the officer concerned from the Head Office and/or Regional Office
7/ In case of foreign bank branches, letter of appointment from the Country Head

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Annex B
DEADLINE : 10 banking/business days from the
annual election of the board of
directors/trustees
SUBMISSION : Original copy to the appropriate
department of the SES

(Name of Bank/QB/NBFI with Trust Authority/Trust Corporation/NBFI/NSSLA)


List of the Members of the Board of Directors and Officers
As of ______________

Name Position Department (if applicable)


Directors:

Officers with rank of senior


vice president and above (or
equivalent ranks):

Officers below the rank of


senior vice president:

REPUBLIC OF THE PHILIPPINES)


___________________________ ) S.S.

I solemnly swear that all matters set forth in this report are true and correct, to the
best of my knowledge and belief.

____________________________
(Signature of Authorized Signatory)

SUBSCRIBED AND SWORN TO BEFORE ME this ____________ day of


__________________________________________ 20___, affiant exhibiting to me his/her
(valid identification document) No. ___________________________ issued at
_________________ on ________________ 20___.
________________________
Notary Public
Until December 31, 20 ___________
PTR No. ______________________
Place _________________________
Doc. No. _________
Page No. _________
Book No. _________
Series of _________
Appendix 6 - Reports Required of Banks Annex C
Page 1 of 6

UBs/KBs

Page 20

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
A-2 Unnumbered (no X141.9 Certification under oath of directors that they have received copies of the Upon election as first- 10th banking day from date of Hardcopy to appropriate department
prescribed form) general responsibility and specific duties and responsibilities of the board time director within a election of the SES
of directors and of a director and that they fully understand and accept bank or banking group
the same

Page 25

B DCB I/II Form 6F X144 Biographical Data of Directors/Officers with ID picture Upon every election/re- 10th banking day from date of Hard copy to appropriate department
(BSP 7-16-18) -If submitted in CD form - Notarized first page of each of the election or election of the directors/meeting of the SES
directors'/officers' Biographical Data saved in CD and control prooflist appointment/ of the board of directors in which
-If sent by electronic mail - Notarized first page of Biographical Data or promotion or if change the officers are
Notarized list of names of Directors/Officers whose Biographical Data in name occurs, or if appointed/promoted
were submitted thru electronic mail to be faxed to SDC requesting for approval
of interlocks 10th banking day from date the
change of name occurred

UBs/KBs (con't)
Appendix 6 - Reports Required of Banks Annex C
Page 2 of 6

Page 25
Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

B X144 Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th banking day from date of Hard copy to appropriate department
watchlist files appointment/promotion election of the directors/meeting of the SES
as first time of the board of directors in which
director/officer within a the officers are
bank or banking group appointed/promoted

Page 26

B X144 Certification under oath of the independent director s that he/she is an Upon election 10th banking day from date of Hard copy to appropriate department
independent director as defined under Subsec. X141.2 and that all the election of the SES
information thereby supplied are true and correct

B X141.9 Certification under oath of director/officer that he/she has all the Upon every election/re- 10th banking day from date of Hard copy to appropriate department
qualifications and none of the disqualifications election or election of the directors/ meeting of the SES
appointment/ of the board of directors in which
promotion the officers are appointed/
promoted

B Unnumbered X144 List of Members of the Board of Directors and Officers Annually 10th banking day from the annual Hard copy to appropriate department
election of the board of directors of the SES

TBs
Appendix 6 - Reports Required of Banks Annex C
Page 3 of 6

Page 53

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

A-2 Unnumbered (no X141.9 Certification under oath of directors that they have received copies of the Upon election as first- 10th banking day from date of Hardcopy to appropriate department
prescribed form) general responsibility and specific duties and responsibilities of the board time director within a election of the SES
of directors and of a director and that they fully understand and accept bank or banking group
the same

Page 63

B SES II Form 15 X144 Biographical Data of Directors/Officers with ID picture Upon every election/re- 10th banking day from date of Hard copy to appropriate
(NP08-TB) - If submitted in CD form - Notarized first page of each of the election or election of the directors/meeting department of the SES
directors'/officers' Biographical Data saved in CD and control prooflist appointment/ of the board of directors in which
- If sent by electronic mail - Notarized first page of Biographical Data promotion or if change the officers are appointed/
or Notarized list of names of Directors/Officers whose Biographical Data in name occurs, or if promoted.
were submitted thru electronic mail to be faxed to SDC requesting for approval
of interlocks 10th banking day from date the
change of name occurred

TBs (con't)
Page 63
Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
Appendix 6 - Reports Required of Banks Annex C
Page 4 of 6
B X144 Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th banking day from date of Hard copy to appropriate department
watchlist files appointment/promotion election of the directors/meeting of the SES
as first time of the board of directors in which
director/officer within a the officers are
bank or banking group appointed/promoted

B X144 Certification under oath of the independent director s that he/she is an Upon election 10th banking day from date of Hard copy to appropriate department
independent director as defined under Subsec.X141.2 and that all the election of the SES
information thereby supplied are true and correct

Page 64

B X141.9 Certification under oath of director/officer that he/she has all the Upon every election/re- 10th banking day from date of Hard copy to appropriate department
qualifications and none of the disqualifications election or election of the directors/meeting of the SES
appointment/promotion of the board of directors in which
the officers are
appointed/promoted

B Unnumbered X144 List of Members of the Board of Directors and Officers Annually 10th banking day from the annual Hard copy to appropriate department
(NP09-TB) election of the board of directors of the SES

RBs

Page 90
Appendix 6 - Reports Required of Banks Annex C
Page 5 of 6
Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
A-2 Unnumbered (no X141.9 Certification under oath of directors that they have received copies of the Upon election as first- 10th banking day from date of Hardcopy to appropriate department
prescribed form) general responsibility and specific duties and responsibilities of the board time director within a election of the SES
of directors and of a director and that they fully understand and accept bank or banking group
the same

Page 97

B RB/COB Form 18 X144 Biographical Data of Directors/Officers with ID picture Upon every election/re- 10th banking day from date of Hard copy to appropriate department
- If submitted in CD form - Notarized first page of each of the election or election of the directors/meeting of the SES
directors'/officers' Biographical Data saved in CD and control prooflist appointment/ of the board of directors in which
-If sent by electronic mail - Notarized first page of Biographical Data or promotion or if change the officers are
Notarized list of names of Directors/Officers whose Biographical Data in name occurs, or if appointed/promoted.
were submitted thru electronic mail to be faxed to SDC requesting for approval
of interlocks 10th banking day from date the
change of name occurred

RBs (con't)
Page 97
Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
Appendix 6 - Reports Required of Banks Annex C
Page 6 of 6
B X144 Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th banking day from date of Hardcopy to appropriate department
watchlist files appointment/promotion election of the directors/meeting of the SES
as first time of the board of directors in which
director/officer within a the officers are
bank or banking group appointed/promoted

B X144 Certification under oath of the independent director that he/she is an Upon election 10th banking day from date of Hardcopy to appropriate department
independent director as defined under Section X141.2 and that all the election of the SES
information thereby supplied are true and correct.

B X141.9 Certification under oath of director/officer that he/she has all the Upon every election/re- 10th banking day from date of Hardcopy to appropriate department
qualifications and none of the disqualifications election or election of the directors /meeting of the SES
appointment/promotion of the board of directors in which
the officers are appointed/
promoted

Page 98

B RB/COB Form 25 X144 List of Members of the Board of Directors and Officers Annually 10th banking day from the annual Hard copy to appropriate department
election of the board of directors of the SES
Appendix Q-3 - Reports Required of Quasi-Banks Annex D
Page 1 of 2

QBs

Page 2

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
A-2 Unnumbered (no 4141Q.9 Certification under oath of directors that they have received copies of the Upon election as first- 10th business day from date of Hard copy to appropriate department of the SES
prescribed form) general responsibility and specific duties and responsibilities of the board of time director within a election
directors and of a director and that they fully understand and accept the QB or NBFI with trust
same authority or banking
group

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B SES II Form 15 4144Q Biographical Data of Directors/Officers with ID picture Upon every 10th business day from date of Hard copy to appropriate department of the SES
(NP08-TB) -If submitted in CD form - Notarized first page of each of the election/re-election election of the directors/meeting of
directors'/officers' Biographical Data saved in CD and control prooflist or appointment/ the board of directors in which the
-If sent by electronic mail - Notarized first page of Biographical Data or promotion or if officers are appointed/promoted.
Notarized list of names of Directors/Officers whose Biographical Data were change in name
submitted thru electronic mail to be faxed to SDC occurs, or if 10th business day from date the
requesting for change of name occurred
approval of interlocks

B 4144Q Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th business day from date of Hard copy to appropriate department of the SES
watchlist files appointment/ election of the directors/meeting of
promotion as first the board of directors in which the
time director/ officers are appointed/promoted
officer within a QB or
NBFI with trust
authority or banking
group
Appendix Q-3 - Reports Required of Quasi-Banks Annex D
Page 2 of 2

QBs (con't)

Page 11

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure

B 4192Q Certification under oath of the independent directors that he/she is an Upon election 10th business day from date of Hard copy to appropriate department of the SES
independent director as defined under Subsec. 4141Q.2 and that all the election
information thereby supplied are true and correct

B 4141Q.9 Certification under oath of directors/officers that he/she has all the Upon every 10th business day from date of Hard copy to appropriate department of the SES
qualifications and none of the disqualifications election/re-election election of the directors /meeting of
or the board of directors in which the
appointment/promoti officers are appointed/ promoted.
on

Page 7

B Unnumbered 4144Q List of Members of the Board of Directors and Officers Annually 10th business day from the annual Hard copy to appropriate department of the SES
election of the board of directors
Annex E
Appendix N-1 - Reports Required from Non-Bank Financial Institutions Page 1 of 1

Non-Bank Financial Institutions

Page 4

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
B SES II Form 15 4145N Biographical Data of Directors/Officers with ID picture Upon every 10th business day from date of Hard copy to appropriate department of
(NP08-TB) -If submitted in CD form - Notarized first page of each of the election/re-election election of the directors/meeting of the SES
directors'/officers' Biographical Data saved in CD and control prooflist or the board of directors in which the
-If sent by electronic mail - Notarized first page of Biographical or Notarized appointment/promoti officers are appointed/ promoted.
list of names of Directors/Officers whose Biographical Data were submitted on or if change in
thru electronic mail to be faxed to SDC name occurs 10th business day from date the
change of name occurred

B 4145N Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th business day from date of Hard copy to appropriate department of
watchlist files appointment/promoti election of the directors/ meeting the SES
on as first time of the board of directors in which
director/officer the officers are
within an FI appointed/promoted

B Unnumbered 4145N List of Members of the Board of Directors and Officers Annually 10th business day from annual Hard copy to appropriate department of
election of the board of directors the SES
Annex F
Appendix S-2 - Reports Required from Non-Stock Savings and Loan Associations Page 1 of 1

Non-Stock Savings and Loan Associations

Page 2

Category Form No. MOR Ref. Report Title Frequency Submission Deadline Submission Procedure
B SES II Form 15 4147S Biographical Data of Trustees/Officers with ID picture Upon every election 10th business day from date of Hard copy to appropriate department of
(NP08-TB) -If submitted in CD form - Notarized first page of each of the /re-election or election of the trustees/meeting of the SES
trustees'/officers' Biographical Data saved in CD and control prooflist appointment / the board of trustees in which the
-If sent by electronic mail - Notarized first page of Biographical or Notarized promotion or if officers are appointed/ promoted.
list of names of Trustees/Officers whose Biographical Data were submitted change in name
thru electronic mail to be faxed to SDC occurs 10th business day from the date the
change of name occurred

B 41475S Duly accomplished and notarized authorization form for querying the BSP Upon election or 10th business day from date of Hard copy to appropriate department of
watchlist files appointment/ election of the trustees meeting of the SES
promotion as first the board of trustees in which the
time trustee/ officers are appointed/promoted
officer within an
NSSLA

B Unnumbered 4147S List of Members of the Board of Trustees and Officers Annually 10th business day from election of Hard copy to appropriate department of
the board of trustees the SES