COMPANY REGISTRATION AND MONITORING DEPARTMENT LIST OF CAPITAL MARKET INSTITUTIONS
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1 COMPANY REGISTRATION AND MONITORING DEPARTMENT LIST OF CAPITAL MARKET INSTITUTIONS RENEWAL REGISTRANTS FOR 2014 BROKER/DEALER IN SECURITIES A.T. DE CASTRO SECURITIES CORPORATION AAA SOUTHEAST EQUITIES, AB CAPITAL SECURITIES ABACUS SECURITIES CORPORATION BINONDO BRANCH CEBU BRANCH DAVAO BRANCH ACCORD CAPITAL EQUITIES CORPORATION ALAKOR SECURITIES CORPORATION ALPHA SECURITIES CORPORATION ANGPING & ASSOCIATES SECURITIES, BACOLOD BRANCH ANSALDO, GODINEZ & CO., APEX (PHILIPPINES) EQUITIES CORPORATION ARMSTRONG SECURITIES, ASIASEC EQUITIES ASTRA SECURITIES CORPORATION ATC SECURITIES, AURORA SECURITIES, B A SECURITIES, B.H. CHUA SECURITIES CORPORATION O SECURITIES CORPORATION BELSON SECURITIES, BENJAMIN CO CA & COMPANY, BERNAD SECURITIES, BONDS, EQUITIES, SECURITIES AND TRADERS BPI SECURITIES CORPORATION CAMPOS, LANUZA & COMPANY, CENTURY SECURITIES CORPORATION CITISECURITIES, CLSA PHILIPPINES, COHERCO SECURITIES, COL FINANCIAL GROUP, CREDIT SUISSE SECURITIES (PHILIPPINES) CUALOPING SECURITIES CORPORATION DBP-DAIWA CAPITAL MARKETS PHILIPPINES, DEUTSCHE REGIS PARTNERS, DIVERSIFIED SECURITIES, DW CAPITAL, E. CHUA CHIACO SECURITIES, Page 1 of 7
2 EAGLE EQUITIES, EASTERN SECURITIES DEVELOPMENT CORPORATION EASTWEST CAPITAL CORPORATION EQUITIWORLD SECURITIES, EVERGREEN STOCK BROKERAGE & SECURITIES, F. YAP SECURITIES, FIDELITY SECURITIES, FIRST INTEGRATED CAPITAL SECURITIES, FIRST METRO SECURITIES BROKERAGE CORPORATION FIRST ORIENT SECURITIES, FRANCISCO ORTIGAS SECURITIES, G.D. TAN & CO., PARAÑAQUE BRANCH GLOBALINKS SECURITIES & STOCKS, GOLDEN TOWER SECURITIES AND HOLDINGS, GOLDSTAR SECURITIES, GUILD SECURITIES, H.E. BENNETT SECURITIES, HDI SECURITIES, I. ACKERMAN & COMPANY, I.B. GIMENEZ SECURITIES, INC IGC SECURITIES, IMPERIAL, DE GUZMAN, ABALOS & CO., INVESTORS SECURITIES, J.M. BARCELON & CO., J.P. MORGAN SECURITIES PHILIPPINES, JAKA SECURITIES CORPORATION JSG SECURITIES, KING'S POWER SECURITIES, LARRGO SECURITIES CO., LITONJUA SECURITIES, LOPEZ, LOCSIN, LEDESMA & CO., LUCKY SECURITIES, LUYS SECURITIES CO., MACQUARIE CAPITAL SECURITIES (PHILIPPINES), MANDARIN SECURITIES CORPORATION MARIAN SECURITIES, MAYBANK ATR KimEng Securities, Inc. (formerly: ATR KIMENG CAPITAL PARTNERS, ) CEBU BRANCH DAVAO BRANCH MDR SECURITIES, MERCANTILE SECURITIES CORPORATION MERIDIAN SECURITIES, Page 2 of 7
3 MOUNT PEAK SECURITIES, NIEVES SECURITIES, OPTIMUM SECURITIES CORPORATION PAN ASIA SECURITIES CORPORATION PAPA SECURITIES CORPORATION PCCI SECURITIES BROKERS CORPORATION PCIB SECURITIES, PHILIPPINE EQUITY PARTNERS, PHIL-PROGRESS SECURITIES CORPORATION PLATINUM SECURITIES, PNB SECURITIES, PREMIUM SECURITIES, QUALITY INVESTMENTS & SECURITIES CORP R & L INVESTMENTS, R. COYIUTO SECURITIES, BAGUIO BRANCH R. NUBLA SECURITIES, R.S. LIM & COMPANY, RCBC SECURITIES, REGINA CAPITAL DEVELOPMENT CORPORATION BAGUIO BRANCH CAGAYAN DE ORO BRANCH GREENHILLS BRANCH ILOILO BRANCH ORTIGAS CENTER, PASIG BRANCH RTG & COMPANY, S.J. ROXAS & CO., SALISBURY BKT SECURITIES CORPORATION SARANGANI SECURITIES, SB EQUITIES, SECURITIES SPECIALISTS, SINCERE SECURITIES CORPORATION SOLAR SECURITIES, STANDARD SECURITIES CORPORATION STAR ALLIANCE SECURITIES CORPORATION STRATEGIC EQUITIES CORPORATION SUMMIT SECURITIES, SUNSECURITIES, SUPREME STOCKBROKERS, THE FIRST RESOURCES MANAGEMENT AND SECURITIES CORPORATION TOWER SECURITIES, 112 BINONDO BRANCH TRAN-ASIA SECURITIES, TRI-STATE SECURITIES, TRITON SECURITIES CORPORATION UBS SECURITIES PHILIPPINES, UCPB SECURITIES, UNICAPITAL SECURITIES, UOB-KAY HIAN SECURITIES (PHILIPPINES), Page 3 of 7
4 UPCC SECURITIES CORPORATION VALUE QUEST SECURITIES CORPORATION VENTURE SECURITIES, VICSAL SECURITIES & STOCK BROKERAGE, VSEC.COM, WEALTH SECURITIES, WESTLINK GLOBAL EQUITIES, WONG SECURITIES CORPORATION YAO & ZIALCITA, YU & COMPANY, BROKER IN SECURITIES A & A SECURITIES, ASIA PACIFIC CAPITAL EQUITIES & SECURITIES CORPORATION CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, ALABANG, MUNTINLUPA BRANCH BINONDO BRANCH SAN JUAN BRANCH MAKATI BRANCH CEBU BRANCH DA MARKET SECURITIES, DAVID GO SECURITIES CORPORATION INTRA-INVEST SECURITIES, NEW WORLD SECURITIES CO., TANSENGCO & COMPANY, YAPSTER E-TRADE, DEALER IN SECURITIES # CR NO. NAME OF COMPANY LEGACY EQUITIES, BROKER in PROPRIETARY SHARES G & W CLUBSHARES, GOLFERS CLUB SHARES, G G & A CLUB SHARES BROKERS, VOICE BROKER IN SECURITIES # CR NO. NAME OF COMPANY AFS PHILIPPINES, GFI (HK) SECURITIES LLC ICAP PHILIPPINES, Page 4 of 7
5 TRADITION FINANCIAL SERVICES PHILIPPINES, TULLETT PREBON (PHILIPPINES) INVESTMENT HOUSE ABACUS CAPITAL & INVESTMENT CORPORATION ASIAN ALLIANCE INVESTMENT CORPORATION BA INVESTMENTS AND HOLDINGS, CITICORP CAPITAL PHILIPPINES, CLSA EXCHANGE CAPITAL, INSULAR INVESTMENT CORPORATION INTERNATIONAL CAPITAL CORPORATION INVESTMENT & CAPITAL CORPORATION OF THE PHILIPPINES MAYBANK ATR KIMENG CAPITAL PARTNERS, PBC CAPITAL INVESTMENT CORPORATION PENTA CAPITAL & INVESTMENT CORPORATION PHILIPPINE REGIONAL INVESTMENT DEVELOPMENT CORPORATION PNB CAPITAL AND INVESTMENT CORPORATION SB CAPITAL INVESTMENT CORPORATION SMBC METRO INVESTMENT CORPORATION STATE INVESTMENT TRUST, CAGAYAN DE ORO BRANCH DAVAO BRANCH MANILA BRANCH UBS INVESTMENTS PHILIPPINES INVESTMENT HOUSE ENGAGED IN DEALING GOVERNMENT SECURITIES # CR NO. NAME OF COMPANY Functions* AB CAPITAL & INVESTMENT CORPORATION AMALGAMATED INVESTMENT BANCORPORATION 2 B O CAPITAL & INVESTMENT CORPORATION BPI CAPITAL CORPORATION FIRST METRO INVESTMENT CORPORATION BACOLOD BRANCH BINONDO BRANCH CAGAYAN DE ORO BRANCH CEBU BRANCH DAVAO BRANCH ILOILO BRANCH MULTINATIONAL INVESTMENT BANCORPORATION PHILIPPINE COMMERCIAL CAPITAL, Page 5 of 7
6 RCBC CAPITAL CORPORATION UNICAPITAL, D VICSAL INVESTMENT, * = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions UNDERWRITER OF SECURITIES ENGAGED IN DEALING GOVERNMENT SECURITIES Functions* AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED CHINA BANKING CORPORATION DEUTSCHE BANK AG D DEVELOPMENT BANK OF THE PHILIPPINES ING BANK N.V. MANILA BRANCH LAND BANK OF THE PHILIPPINES STANDARD CHARTERED BANK THE HONGKONG AND SHANGHAI BANKING CORPORATION LTD.-PHILIPPINE BRANCH UNIONBANK OF THE PHILIPPINES UNITED COCONUT PLANTERS BANK * = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions GOVERNMENT SECURITIES ELIGIBLE DEALER # CR NO. NAME OF COMPANY Functions* ASIA UNITED BANK CORPORATION D BANK OF COMMERCE O UNIBANK, BANK OF THE PHILIPPINE ISLANDS O PRIVATE BANK, CTBC BANK (PHILIPPINES) CORP. (formerly: CHINATRUST [PHILIPPINES] COMMERCIAL BANK CORPORATION) CITIBANK N.A CITIBANK SAVINGS, D CITYSTATE SAVINGS BANK, D EAST WEST BANKING CORPORATION HSBC SAVINGS BANK (PHILIPPINES), JPMORGAN CHASE BANK, NATIONAL 12 ASSOCIATION MALAYAN BANK SAVINGS & MORTGAGE BANK, D MAYBANK PHILIPPINES, INCORPORATED METROPOLITAN BANK AND TRUST COMPANY PHILIPPINE BANK OF COMMUNICATIONS D PHILIPPINE BUSINESS BANK, (A SAVINGS 17 BANK) PHILIPPINE NATIONAL BANK PHILIPPINE POSTAL SAVINGS BANK, D Page 6 of 7
7 PHILIPPINE SAVINGS BANK D PHILIPPINE VETERANS BANK PLANTERS DEVELOPMENT BANK D RCBC SAVINGS BANK, D RIZAL COMMERCIAL BANKING CORPORATION ROBINSONS BANK CORPORATION SECURITY BANK CORPORATION STERLING BANK OF ASIA (A SAVINGS BANK) UCPB SAVINGS BANK, D * = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions INVESTMENT COMPANY ADVISER # CR NO. NAME OF COMPANY ATR KIMENG ASSET MANAGEMENT, BPI INVESTMENT MANAGEMENT, COCOLIFE ASSET MANAGEMENT COMPANY, FIRST METRO ASSET MANAGEMENT (FMAMI), GREPALIFE ASSET MANAGEMENT CORPORATION PARADIGM GLOBAL INVESTMENT MANAGEMENT, PHILAM ASSET MANAGEMENT, PHILEQUITY MANAGEMENT, SUN LIFE ASSET MANAGEMENT COMPANY, VICSAL INVESTMENT, MUTUAL FUND DISTRIBUTOR BONDS, EQUITIES, SECURITIES AND TRADERS BPI CAPITAL CORPORATION BPI INVESTMENT MANAGEMENT, CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, FIRST METRO SECURITIES BROKERAGE CORPORATION RCBC CAPITAL CORPORATION TRITON SECURITIES CORPORATION Page 7 of 7
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COMPANY REGISTRATION AND MONITORING DEPARTMENT LIST OF CAPITAL MARKET INSTITUTIONS RENEWAL REGISTRANTS FOR 2015 ALABANG, MUNTINLUPA CITY BRANCH
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