MORNBFI Vol. 1 - Planters Development Bank

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APP. Q-2308.12.31(RESERVED)Manual of Regulations for Non-<strong>Bank</strong> Financial InstitutionsQ RegulationsAppendix Q-23 - Page 1
APP. Q-23-a08.12.31CERTIFICATION OF COMPLIANCEWITH ANTI-MONEY LAUNDERING REGULATIONSC E R T I F I C A T I O NPursuant to the provisions of Section 2 of BSP Circular No. 279 dated 02 April 2001, wehereby certify:1. That we have monitored (Name of quasi-bank)’s compliance with R.A. No. 9160(Anti-Money Laundering Act of 2001) as well as with BSP Circular Nos. 251, 253,259 and 302;2. That the quasi-bank is complying with the required customer identification,documentation of all new clients, and continued monitoring of customer’s activities;3. That the quasi-bank is also complying with the requirement to record all transactionsand to maintain such records including the record of customer identification for atleast five (5) years;4. That the quasi-bank does not maintain anonymous or fictitious accounts; and5. That we conduct regular anti-money laundering training sessions for all quasi-bankofficers and selected staff members holding sensitive positions.(Name of President or officerof equivalent rank)(Name of ComplianceOfficer)SUBSCRIBED AND SWORN to before me, _____ this ____ day of ____________,affiant/s exhibiting to me their Community Tax Certificate No.(s) as follows:CommunityDate/PlaceName Tax Cert. No IssuedDoc. No. _________;Page No. _________;Book No. _________;Series of 20___Notary PublicManual of Regulations for Non-<strong>Bank</strong> Financial InstitutionsQ RegulationsAppendix Q-23-a - Page 1
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FOREWORDThe 2011 Manual of Regulati
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LIST OF APPENDICESList of Appendice
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List of Appendices11.12.31No.SUBJEC
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List of Appendices11.12.31No. SUBJE
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POWER OF THE BANGKO SENTRAL TO EXAM
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§§ 4101Q - 4101Q.108.12.31PART ON
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§§ 4101Q.2 - 4101Q.308.12.31c. Tw
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§§ 4101Q.5 - 4101Q.608.12.31§ 41
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§§ 4102Q.1 - 4103Q08.12.31f. The
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§§ 4108Q - 4108Q.309.12.31C. MERG
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§ 4108Q.308.12.31f. Relocation of
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§§ 4114Q - 4116Q.211.12.31Sec. 41
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§ 4116Q.211.12.31(xii) It must be
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§ 4116Q.308.12.31examination as ap
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§§ 4116Q.3 - 4116Q.408.12.31(a) I
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§ 4116Q.408.12.31m. Forward asset
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§§ 4117Q - 4119Q09.12.31to risk a
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§§ 4136Q.2 - 4136Q.408.12.31§ 41
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§§ 4136Q.4 - 4141Q.108.12.31on su
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§§ 4141Q.1 - 4141Q.308.12.31direc
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§ 4141Q.308.12.31responsible for t
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§ 4141Q.308.12.31practical strateg
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§§ 4141Q.4 - 4142Q11.12.31Confirm
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§ 4143Q.108.12.31government agency
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§§ 4143Q.1 - 4143Q.210.12.31direc
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§§ 4143Q.3 - 4143Q.408.12.31§ 41
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§§ 4143Q.4 - 4143Q.508.12.31the f
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§ 4145Q09.12.31disadvantages that
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§§ 4146Q - 4148Q08.12.31schedule
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§§ 4149Q.9 - 4150Q08.12.31The imp
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§§ 4151Q.5 - 4160Q.310.12.31h. Bu
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§ 4160Q.310.12.31or corrected cert
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§§ 4174Q - 4180Q.108.12.31to prov
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§§ 4180Q.4 - 4180Q.808.12.31direc
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§§ 4185Q.9 - 4186Q.308.12.31direc
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§ 4190Q08.12.31volume of past due
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§§ 4190Q - 4190Q.408.12.31adjusti
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§§ 4191Q - 4191Q.311.12.31Sec. 41
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§§ 4192Q - 4192Q.208.12.31or subs
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§§ 4192Q.2 - 4192Q.308.12.31b. Fi
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§§ 4201Q - 4235Q.308.12.31PART TW
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§§ 4235Q.5 - 4235Q.611.12.31date
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§ 4235Q.1208.12.31being sold on a
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§§ 4237Q.2 - 4237Q.308.12.31c. Th
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§§ 4239Q.4 - 4239Q.608.12.31§ 42
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§§ 4254Q - 4254Q.308.12.31capital
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§§ 4256Q.5 - 4277Q08.12.31adopted
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§ 4301Q08.12.31PART THREELOANS, IN
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§ 4301Q.609.12.31concentrations of
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§§ 4303Q11.12.31the payment of pr
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§§ 4304Q.110.12.31amounts and for
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§§ 4304Q.1 - 4304Q.1010.12.31exte
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§§ 4304Q.12 - 4305Q.310.12.31b. r
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§§ 4305Q.5 - 4306Q.108.12.31§ 43
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§§ 4306Q.5 - 4307Q.108.12.31(5) B
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§§ 4307Q.2 - 4309Q.108.12.31state
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§§ 4320Q.1 - 4320Q.210.12.31penal
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§§ 4320Q.4 - 4320Q.710.12.31amoun
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§§ 4320Q.12 - 4320Q.1410.12.31aga
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§§ 4322Q.1 - 4322Q.208.12.31(1) W
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§§ 4326Q - 4326Q.108.12.31No QB s
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§§ 4328Q - 4328Q.509.12.31where t
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§ 4328Q.509.12.31ceilings until th
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§§ 4330Q - 4333Q08.12.31Sec. 4330
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§§ 4336Q - 4340Q08.12.31accommoda
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§§ 4343Q.1 - 4382Q10.12.31§ 4343
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§§ 4388Q.5 - 4394Q.211.12.31a. Fi
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§§ 4394Q.3 - 4394Q.1508.12.31of t
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§ 4394Q.1508.12.31(3) Relationship
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§§ 4401Q - 4403Q11.12.31PART FOUR
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§§ 4403Q - 4404Q.308.12.31which c
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§§ 4404Q.4 - 4405Q.208.12.31§ 44
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§§ 4405Q.4 - 4405Q.508.12.31(2) S
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§§ 4405Q.6 - 4406Q.108.12.31Depar
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§§ 4406Q.2 - 4406Q.409.12.31desig
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§§ 4407Q - 4408Q09.12.31of a debt
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§ 4408Q.908.12.31P30,000 a day on
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§§ 4409Q.2 - 4409Q.408.12.31e. In
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§§ 4409Q.7 - 4409Q.909.12.31§ 44
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§ 4409Q.909.12.31under one (1) liv
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§§ 4409Q.16 - 4409Q.1708.12.31f.
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§§ 4409Q.17 - 4410Q.508.12.31and
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§§ 4410Q.6 - 4410Q.708.12.31Fund
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§§ 4410Q.7 - 4410Q.808.12.31In ad
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§§ 4410Q.11 - 4411Q.108.12.31§ 4
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§§ 4411Q.4 - 4411Q.708.12.31R.A.
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§§ 4411Q.9 - 4413Q09.12.31b. Fund
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§§ 4414Q.1 - 4415Q.308.12.31major
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§§ 4416Q - 4421Q09.12.31a. Invest
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§§ 4424Q - 4425Q.309.12.31obtaini
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§§ 4426Q.1 - 4428Q09.12.31activit
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§§ 4441Q.4 - 4441Q.511.12.31§ 44
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§§ 4441Q.7 - 4441Q.911.12.31docum
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§§ 4441Q.14 - 4499Q08.12.31§ 444
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§§ 4506Q - 4599Q08.12.31Secs. 450
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§§ 4601Q.1 - 4601Q.209.12.31Gover
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§§ 4611Q - 4611Q.209.12.31to, the
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§§ 4611Q.2 - 4611Q.309.12.31appli
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§§ 4611Q.6 - 4625Q.209.12.31only
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§§ 4625Q.5 - 4625Q.1408.12.31§ 4
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§§ 4651Q.1 - 4651Q.408.12.31h. Is
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§§ 4651Q.7 - 4651Q.1208.12.31Prov
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§§ 4651Q.15 - 4651Q.1908.12.31and
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§§ 4701Q - 4701Q.209.12.31PART SE
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§§ 4701Q.5 - 4701Q.1209.12.31b. O
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§ 4780Q.409.12.31shall be consolid
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§§ 4781Q - 4799Q09.12.31Secs. 478
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§ 4803Q11.12.31result of which he
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§ 4803Q - 4805Q11.12.31beneficiary
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§§ 4805Q.211.12.31terrorism finan
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§§ 4805Q.4 - 4806Q.1.a.11.12.31of
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§§ 4806Q.1.c. - 4806Q.1.e.1.11.12
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§§ 4806Q.2.a. - 4806Q.2.c.11.12.3
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§§ 4806Q.2.d. - 4806Q.2.e.1.a.11.
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§§ 4806Q.2.h. - 4806Q.2.i.11.12.3
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§§ 4806Q.2.j.2. - 4806Q.2.m.11.12
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§§ 4806Q.3.a. - 4807Q.111.12.31b.
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§§ 4807Q.5 - 4808Q11.12.31§ 4807
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§§ 4810Q - 4899Q11.12.31F. BSP Au
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§§ 4902Q.1 - 4902Q.209.12.31(2) T
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§§ 4921Q - 4931Q.208.12.31g. Deli
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§ 4931Q.208.12.31(2) The assessmen
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§§ 4931Q.5 - 4999Q08.12.31(1) Fai
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APP. Q-108.12.31e. Organization, Di
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APP. Q-208.12.31E. Less:Present Com
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Q RegulationsAppendix Q-3 - Page 2S
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Q RegulationsAppendix Q-3 - Page 10
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APP. Q-308.12.31Annex Q-3-aINFORMAT
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APP. Q-308.12.31Annex Q-3-cREPORTIN
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APP. Q-308.12.31Annex Q-3-eDOCUMENT
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APP. Q-408.12.31GUIDELINES ON PRESC
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APP. Q-408.12.31Annex Q-4-bFORMAT O
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MINIMUM INTERNAL CONTROL STANDARDS
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APP. Q-508.12.31these transactions
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APP. Q-608.12.31STANDARDIZED DEPOSI
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APP. Q-608.12.31Serial No.(Name of
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APP. Q-608.12.31Serial No:(Name of
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APP. Q-608.12.31Serial No:(Name of
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APP. Q-708.12.31NEW RULES ON REGIST
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APP. Q-708.12.31connection with the
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APP. Q-708.12.31(f) Evidence of ind
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APP. Q-708.12.31(b) These periodic
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APP. Q-808.12.31Sec. 3. Conditions
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APP. Q-808.12.31h. Projected annual
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APP. Q-808.12.31Sec. 11. Conditions
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APP. Q-808.12.31Sec. 19. Transitory
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APP. Q-908.12.31B. The following go
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APP. Q-1008.12.31a. Loans with unlo
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APP. Q-1008.12.31C. Credit card rec
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APP. Q-1008.12.31as a result of the
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APP. Q-1108.12.316. Finance Charges
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ABSTRACT OF "TRUTH IN LENDING ACT"
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APP. Q-13a08.12.31SETTLEMENT PROCED
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APP. Q-13b08.12.31executed, the ben
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APP. Q-13b08.12.31PARTICIPATION AGR
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APP. Q-13b08.12.31Annex 2LETTERHEAD
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APP. Q-1408.12.31SAMPLE INVESTMENT
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APP. Q-1408.12.31(4) Loans fully se
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APP. Q-1408.12.31EFFECTIVITY AND TE
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APP. Q-1509.12.31Considering that c
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APP. Q-1509.12.31c. Appropriate ris
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APP. Q-1509.12.31deteriorating posi
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APP. Q-1509.12.31(c) Competent and
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Page 347 and 348: APP. Q-1808.12.31SECURITIES AND EXC
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Page 351 and 352: APP. Q-1808.12.31Sec. 12. Bangko Se
Page 353 and 354: APP. Q-1908.12.31f. PURCHASE DISCOU
Page 355 and 356: APP. Q-1908.12.31a) Police clearanc
Page 357 and 358: APP. Q-1908.12.31Sec. 8. Loans and
Page 359 and 360: APP. Q-1908.12.31and shall be gover
Page 361 and 362: APP. Q-2011.12.31(1%) shall be eval
Page 363 and 364: APP. Q-2011.12.31in the fair value
Page 365 and 366: APP. Q-2011.12.31recognition, an FI
Page 367 and 368: APP. Q-2011.12.31securities since t
Page 369 and 370: APP. Q-2008.12.31after 15 November
Page 371 and 372: APP. Q-20a08.12.31ESTABLISHING THE
Page 373 and 374: APP. Q-20a08.12.31Other GuidelinesF
Page 375 and 376: APP. Q-2108.12.31the BTR and BSP to
Page 377 and 378: APP. Q-2108.12.317. On the same day
Page 379 and 380: APP. Q-2108.12.31Annex 1SUPERVISION
Page 381 and 382: APP. Q-2108.12.31Annex 2-ATo be use
Page 383 and 384: APP. Q-2108.12.31Annex 3Letterhead
Page 385 and 386: APP. Q-2108.12.31MEMORANDUMAnnex 5D
Page 387 and 388: APP. Q-2108.12.31Annex 7MEMORANDUMD
Page 389: APP. Q-22-a09.12.31PROFORMA PAYMENT
Page 393 and 394: APP. Q-23-c08.12.31CUSTOMER DUE DIL
Page 395 and 396: APP. Q-23-c08.12.312.2 Specific ide
Page 397 and 398: APP. Q-23-c08.12.31by high-risk cus
Page 399 and 400: APP. Q-23-d08.12.31GENERAL IDENTIFI
Page 401 and 402: APP. Q-23-e08.12.318. These guideli
Page 403 and 404: APP. Q-23-e08.12.31principals. What
Page 405 and 406: APP. Q-23-f08.12.31Anti-Money Laund
Page 407 and 408: APP. Q-2409.12.31(9) An excessive v
Page 409 and 410: APP. Q-2508.12.31Presidential Decre
Page 411 and 412: APP. Q-2508.12.31(o) “Property”
Page 413 and 414: APP. Q-2508.12.31public funds or ra
Page 415 and 416: APP. Q-2508.12.31(64) Sale of any c
Page 417 and 418: APP. Q-2508.12.31(113) Violations o
Page 419 and 420: APP. Q-2508.12.31(2) to issue order
Page 421 and 422: APP. Q-2508.12.31verifying their le
Page 423 and 424: APP. Q-2508.12.31existing laws and
Page 425 and 426: APP. Q-2508.12.314. All relevant in
Page 427 and 428: APP. Q-2508.12.31executory. This pr
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Page 431 and 432: APP. Q-2508.12.31monetary instrumen
Page 433 and 434: APP. Q-2508.12.31final disposition
Page 435 and 436: APP. Q-2708.12.31DETAILS ON THE COM
Page 437 and 438: APP. Q-2808.12.31(1) the assets to
Page 439 and 440: APP. Q-28-a08.12.31(which is compar
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APP. Q-28-a08.12.31be objectively r
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APP. Q-28-a08.12.311Accounting Entr
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APP. Q-28-a08.12.31B. Statement of
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APP. Q-2908.12.31GUIDELINES AND MIN
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APP. Q-2908.12.31Circular No. 388 f
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APP. Q-3009.12.31of the BSP or the
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APP. Q-3009.12.31Category B and C u
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APP. Q-3009.12.31b. A notarized und
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APP. Q-3009.12.313. In case there a
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APP. Q-3009.12.31a. An external aud
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APP. Q-3108.12.31QUALIFICATION REQU
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APP. Q-3209.12.31RULES AND REGULATI
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APP. Q-3209.12.31e. The interest of
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APP. Q-3308.12.31Information/Data R
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APP. Q-3308.12.31Information/Data R
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APP. Q-3408.12.31QUARTERLY INVESTME
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APP. Q-34a08.12.31cash is possible
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APP. Q-3508.12.31BANGKO SENTRAL RUL
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APP. Q-3508.12.31submit, within ten
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APP. Q-3608.12.31FORMAT CERTIFICATI
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App. Q-3608.12.31Annex Q-36-aFORMAT
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APP. Q-3709.12.31(iv) Responsibilit
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APP. Q-3709.12.31review and that BS
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APP. Q-3811.12.31IMPLEMENTATION OF
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APP. Q-3811.12.31or instruction dir
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APP. Q-3811.12.31Annex ATEMPLATE OF
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APP. Q-3811.12.31The custodian shal
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APP. Q-3808.12.31Moreover, Circular
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APP. Q-38a08.12.31DISPOSITION OF CO
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APP. Q-38b08.12.31Annex AKNOW ALL M
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APP. Q-38b08.12.31holdings of benef
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APP. Q-38b08.12.31Sec. 4. Settlemen
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APP. Q-38b08.12.31INVESTOR’S UNDE
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APP. Q-38b08.12.317. To hold the BT
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APP. Q-3909.12.31THE GUIDELINES FOR
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APP. Q-3909.12.316. Maximum refers
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App. Q-3908.12.31assets and capital
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PROMPT CORRECTIVE ACTION FRAMEWORK[
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APP. Q-4009.12.31facilities. The De
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APP. Q-4108.12.31Annex ADEBIT/CREDI
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APP. Q-4208.12.31of traded portfoli
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APP. Q-4208.12.31c. Ensure that str
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APP. Q-4308.12.31GUIDELINES ON MARK
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APP. Q-4308.12.31of this Appendix i
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APP. Q-4308.12.31expected net cash
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APP. Q-4308.12.31presented. In asse
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APP. Q-4308.12.315. Procedures to b
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APP. Q-4308.12.31Model risk is more
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APP. Q-4308.12.31simulation, a comp
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APP. Q-4308.12.31Policies and proce
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APP. Q-4308.12.31and complexity of
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APP. Q-4408.12.316. The adequacy of
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APP. Q-4408.12.31A. Active and Appr
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APP. Q-4408.12.31Liquidity risk mea
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APP. Q-4408.12.313. Address adminis
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APP. Q-4408.12.31of any foreign cur
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APP. Q-4508.12.31ACKNOWLEDGMENTREPU
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APP. Q-4611.12.316. The BSP reserve
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APP. Q-4611.12.31Remaining maturity
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APP. Q-4611.12.31ii. There is a cha
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APP. Q-4611.12.31iii. It does not q
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APP. Q-4611.12.31the pricing date a
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APP. Q-4611.12.31MSME exposure:a) T
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APP. Q-4611.12.31ii. Inward bills f
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APP. Q-4611.12.31charges, as will t
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APP. Q-4611.12.31guarantee to be re
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APP. Q-4611.12.31Agency INTERNATION
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APP. Q-4611.12.31purchased out of t
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APP. Q-4611.12.31that in which the
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APP. Q-4611.12.31credit rating of a
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APP. Q-4611.12.31exhausted; andd) R
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APP. Q-4611.12.31implies that the e
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APP. Q-4611.12.3128. A CCF of twent
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APP. Q-4611.12.31in accordance with
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APP. Q-4611.12.31Credit ratings of
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APP. Q-4611.12.318. Gross income, f
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APP. Q-4611.12.31following informat
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GUIDELINES ON THE USE OF THE STANDA
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APP. Q-46b08.12.31for operational r
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APP. Q-4708.12.31Annex 1(Institutio
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APP. Q-47a08.12.31SPECIAL DEPOSIT A
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APP. Q-4811.12.31BASIC STANDARDS IN
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APP. Q-4811.12.31accounts.iii. Inve
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APP. Q-4811.12.31(b.) Identificatio
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APP. Q-4811.12.31investment policie
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APP. Q-4811.12.31various investment
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APP. Q-4811.12.31accuracy and relia
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Appendix Q-49 - Page 2Manual of Reg
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Appendix Q-49 - Page 4Time of recei
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APP. Q-5009.12.31j. Organizational
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APP. Q-5111.12.31Tax DocumentsDue D
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APP. Q-5209.12.31to ensure that ris
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APP. Q-5209.12.31a. Risk identifica
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APP. Q-5209.12.31vi. Commentary on
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APP. Q-5209.12.31Details of the rel
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APP. Q-5309.12.31GUIDELINES ON THE
Page 633 and 634:
APP. Q-5309.12.31risk profile, or d
Page 635 and 636:
GUIDELINES ON OUTSOURCING OFSERVICE
Page 637 and 638:
App. Q-5510.12.31In addition, the E
Page 639 and 640:
APP. Q-5611.31.12this Section shall
Page 641 and 642:
APP. Q-5611.31.12such creditor, deb
Page 643 and 644:
APP. Q-5611.31.12dissolved by quo w
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APP. Q-5611.31.12may be deemed adva
Page 647 and 648:
APP. Q-5611.31.12Entity. If the liq
Page 649 and 650:
APP. Q-5611.31.128. Conduct physica
Page 651 and 652:
APP. Q-5611.31.12G. Termination of
Page 653 and 654:
APP. Q-5611.31.12Liquidator, to rec
Page 655 and 656:
APP. Q-5611.31.12information with t
Page 657:
APP. Q-57a11.12.31LIST OF DOCUMENTA
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MORNBFI Vol. 1 - Planters Development Bank

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