ICCP recently held a free Zoom webinar for its members and non-members alike. Atty. Kenneth Joy A. Quimio, Asst. Director for Compliance Monitoring Division of the SEC was invited as a speaker.
Atty Quimio has obtained her Master’s Degree for Public Administration, Major in Public Policy-Making from UP Diliman. She also has a Master’s Degree in Business Administration – Major in Capital Markets. She has lectured on numerous occasions concerning Financing/ Lending Companies, SEC seminars on Certified Securities Representatives, Securities Registration under the Securities Regulation Code (SRC) and the Revised Corporation Code (RCC).
Atty. Quimio discussed the monitoring guidelines of corporations – both domestic and foreign. She talked about the reportorial requirements of corporations and the consequences of non-compliance with these requirements. She discussed the CMD checklist of basic requirements for monitoring.