COMPANY REGISTRATION AND MONITORING DEPARTMENT LIST OF CAPITAL MARKET INSTITUTIONS RENEWAL REGISTRANTS FOR 2015 ALABANG, MUNTINLUPA CITY BRANCH
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1 BROKER/DEALER IN SECURITIES A.T. DE CASTRO SECURITIES CORPORATION AAA SOUTHEAST EQUITIES, INC. AB CAPITAL SECURITIES INC. ALABANG, MUNTINLUPA CITY BRANCH BINONDO, MANILA BRANCH CEBU CITY BRANCH SAN JUAN CITY BRANCH ABACUS SECURITIES CORPORATION BINONDO, MANILA BRANCH CEBU CITY BRANCH DAVAO CITY BRANCH ACCORD CAPITAL EQUITIES CORPORATION BINONDO, MANILA BRANCH ALAKOR SECURITIES CORPORATION ALPHA SECURITIES CORPORATION ANGPING & ASSOCIATES SECURITIES, INC. BACOLOD CITY BRANCH ANSALDO, GODINEZ & CO., INC APEX (PHILIPPINES) EQUITIES CORPORATION ARMSTRONG SECURITIES, INC ASIASEC EQUITIES INC ASTRA SECURITIES CORPORATION ATC SECURITIES, INC AURORA SECURITIES, INC B A SECURITIES, INC B.H. CHUA SECURITIES CORPORATION BDO SECURITIES CORPORATION BELSON SECURITIES, INC BENJAMIN CO CA & COMPANY, INC BERNAD SECURITIES, INC BONDS, EQUITIES, SECURITIES AND TRADERS INC. Page 1 of 11
2 BROKER/DEALER IN SECURITIES BPI SECURITIES CORPORATION CEBU CITY BRANCH CAMPOS, LANUZA & COMPANY, INC CENTURY SECURITIES CORPORATION CITISECURITIES, INC CLSA PHILIPPINES, INC COHERCO SECURITIES, INC COL FINANCIAL GROUP, INC CREDIT SUISSE SECURITIES (PHILIPPINES) INC CUALOPING SECURITIES CORPORATION DBP-DAIWA CAPITAL MARKETS PHILIPPINES, INC DEUTSCHE REGIS PARTNERS, INC DIVERSIFIED SECURITIES, INC DW CAPITAL, INC E. CHUA CHIACO SECURITIES, INC EAGLE EQUITIES, INC EASTERN SECURITIES DEVELOPMENT CORPORATION EASTWEST CAPITAL CORPORATION EQUITIWORLD SECURITIES, INC EVERGREEN STOCK BROKERAGE & SECURITIES, INC F. YAP SECURITIES, INC FIDELITY SECURITIES, INC FIRST INTEGRATED CAPITAL SECURITIES, INC FIRST METRO SECURITIES BROKERAGE CORPORATION FIRST ORIENT SECURITIES, INC FRANCISCO ORTIGAS SECURITIES, INC G.D. TAN & CO., INC. PARAÑAQUE CITY BRANCH GLOBALINKS SECURITIES & STOCKS, INC GOLDEN TOWER SECURITIES AND HOLDINGS, INC GOLDSTAR SECURITIES, INC GUILD SECURITIES, INC H.E. BENNETT SECURITIES, INC. Page 2 of 11
3 BROKER/DEALER IN SECURITIES HDI SECURITIES, INC I.B. GIMENEZ SECURITIES, INC IGC SECURITIES, INC IMPERIAL, DE GUZMAN, ABALOS & CO., INC INVESTORS SECURITIES, INC J.M. BARCELON & CO., INC J.P. MORGAN SECURITIES PHILIPPINES, INC JAKA SECURITIES CORPORATION JSG SECURITIES, INC KING'S POWER SECURITIES, INC LARRGO SECURITIES CO., INC LITONJUA SECURITIES, INC LOPEZ, LOCSIN, LEDESMA & CO., INC LUCKY SECURITIES, INC LUYS SECURITIES CO., INC MACQUARIE CAPITAL SECURITIES (PHILIPPINES), INC MANDARIN SECURITIES CORPORATION MARIAN SECURITIES, INC MAYBANK ATR KimEng Securities, Inc. (formerly: ATR KIMENG CAPITAL PARTNERS, INC.) CEBU CITY BRANCH DAVAO CITY BRANCH MDR SECURITIES, INC MERCANTILE SECURITIES CORPORATION MERIDIAN SECURITIES, INC MOUNT PEAK SECURITIES, INC OPTIMUM SECURITIES CORPORATION PAN ASIA SECURITIES CORPORATION PAPA SECURITIES CORPORATION PCCI SECURITIES BROKERS CORPORATION PCIB SECURITIES, INC PHILIPPINE EQUITY PARTNERS, INC PHIL-PROGRESS SECURITIES CORPORATION Page 3 of 11
4 BROKER/DEALER IN SECURITIES PLATINUM SECURITIES, INC PNB SECURITIES, INC PREMIUM SECURITIES, INC QUALITY INVESTMENTS & SECURITIES CORP R & L INVESTMENTS, INC R. COYIUTO SECURITIES, INC. BAGUIO CITY BRANCH R. NUBLA SECURITIES, INC R.S. LIM & COMPANY, INC RCBC SECURITIES, INC. REGINA CAPITAL DEVELOPMENT CORPORATION BAGUIO BRANCH CAGAYAN DE ORO BRANCH GREENHILLS BRANCH ILOILO BRANCH ORTIGAS CENTER, PASIG BRANCH RTG & CO., INC S.J. ROXAS & CO., INC SALISBURY BKT SECURITIES CORPORATION SARANGANI SECURITIES, INC SB EQUITIES, INC SECURITIES SPECIALISTS, INC SINCERE SECURITIES CORPORATION SOLAR SECURITIES, INC STANDARD SECURITIES CORPORATION STAR ALLIANCE SECURITIES CORPORATION STRATEGIC EQUITIES CORPORATION SUMMIT SECURITIES, INC SUNSECURITIES, INC SUPREME STOCKBROKERS, INC THE FIRST RESOURCES MANAGEMENT AND SECURITIES CORPORATION Page 4 of 11
5 BROKER/DEALER IN SECURITIES TIMSON SECURITIES INC TOWER SECURITIES, INC. BINONDO BRANCH TRANS-ASIA SECURITIES, INC TRI-STATE SECURITIES, INC TRITON SECURITIES CORPORATION UBS SECURITIES PHILIPPINES, INC UCPB SECURITIES, INC UNICAPITAL SECURITIES, INC UOB-KAY HIAN SECURITIES (PHILIPPINES), INC UPCC SECURITIES CORPORATION VALUE QUEST SECURITIES CORPORATION VENTURE SECURITIES, INC VICSAL SECURITIES & STOCK BROKERAGE, INC VSEC.COM, INC WEALTH SECURITIES, INC WESTLINK GLOBAL EQUITIES, INC WONG SECURITIES CORPORATION YAO & ZIALCITA, INC YU & COMPANY, INC. Page 5 of 11
6 BROKER IN SECURITIES A & A SECURITIES, INC ASIA PACIFIC CAPITAL EQUITIES & SECURITIES CORPORATION CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC. ALABANG, MUNTINLUPA CITY BRANCH BINONDO, MANILA CITY BRANCH CEBU CITY BRANCH SAN JUAN BRANCH MAKATI BRANCH DA MARKET SECURITIES, INC DAVID GO SECURITIES CORPORATION INTRA-INVEST SECURITIES, INC NEW WORLD SECURITIES CO., INC TANSENGCO & COMPANY, INC YAPSTER E-TRADE, INC. DEALER IN SECURITIES LEGACY EQUITIES, INC. Page 6 of 11
7 BROKER in PROPRIETARY SHARES G & W CLUBSHARES, INC G G & A CLUB SHARES BROKERS, INC GOLFERS CLUB SHARES, INC. VOICE BROKER IN SECURITIES AFS PHILIPPINES, INC ICAP PHILIPPINES, INC TRADITION FINANCIAL SERVICES PHILIPPINES, INC TULLETT PREBON (PHILIPPINES) INC. INVESTMENT HOUSES ABACUS CAPITAL & INVESTMENT CORPORATION ASIAN ALLIANCE INVESTMENT CORPORATION BA INVESTMENTS AND HOLDINGS, INC CITICORP CAPITAL PHILIPPINES, INC CLSA EXCHANGE CAPITAL, INC INSULAR INVESTMENT CORPORATION INTERNATIONAL CAPITAL CORPORATION INVESTMENT & CAPITAL CORPORATION OF THE PHILIPPINES MAYBANK ATR KIMENG CAPITAL PARTNERS, INC PBC CAPITAL INVESTMENT CORPORATION PENTACAPITAL INVESTMENT CORPORATION Page 7 of 11
8 INVESTMENT HOUSES PHILIPPINE REGIONAL INVESTMENT DEVELOPMENT CORPORATION PNB CAPITAL AND INVESTMENT CORPORATION SB CAPITAL INVESTMENT CORPORATION SMBC METRO INVESTMENT CORPORATION STATE INVESTMENT TRUST, INC CAGAYAN DE ORO BRANCH DAVAO BRANCH MANILA BRANCH UBS INVESTMENTS PHILIPPINES INC. INVESTMENT HOUSES ENGAGED IN DEALING GOVERNMENT SECURITIES Functions* AB CAPITAL & INVESTMENT CORPORATION BD AMALGAMATED INVESTMENT BANCORPORATION B BDO CAPITAL & INVESTMENT CORPORATION BD BPI CAPITAL CORPORATION BD FIRST METRO INVESTMENT CORPORATION BACOLOD BRANCH BINONDO BRANCH CAGAYAN DE ORO BRANCH CEBU BRANCH DAVAO BRANCH ILOILO BRANCH BD MULTINATIONAL INVESTMENT BANCORPORATION BD PHILIPPINE COMMERCIAL CAPITAL, INC. BD RCBC CAPITAL CORPORATION BD UNICAPITAL, INC. D VICSAL INVESTMENT, INC. B * BD = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions Page 8 of 11
9 UNDERWRITERS OF SECURITIES ENGAGED IN DEALING GOVERNMENT SECURITIES Functions* ASIA UNITED BANK CORPORATION BD AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED BD CHINA BANKING CORPORATION BD DEUTSCHE BANK AG D DEVELOPMENT BANK OF THE PHILIPPINES BD EAST WEST BANKING CORPORATION BD ING BANK N.V. MANILA BRANCH BD LAND BANK OF THE PHILIPPINES BD STANDARD CHARTERED BANK BD THE HONGKONG AND SHANGHAI BANKING CORPORATION LTD.- PHILIPPINE BRANCH BD UNIONBANK OF THE PHILIPPINES BD UNITED COCONUT PLANTERS BANK BD * BD = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions GOVERNMENT SECURITIES ELIGIBLE DEALERS Functions* BANK OF COMMERCE BD BANK OF THE PHILIPPINE ISLANDS BD BDO PRIVATE BANK, INC. D BDO UNIBANK, INC. BD CITIBANK N.A. BD CITYSTATE SAVINGS BANK, INC. D CTBC BANK (PHILIPPINES) CORP. BD HSBC SAVINGS BANK (PHILIPPINES), INC. BD JPMORGAN CHASE BANK, NATIONAL ASSOCIATION BD MALAYAN BANK SAVINGS & MORTGAGE BANK, INC. D MAYBANK PHILIPPINES, INCORPORATED BD METROPOLITAN BANK AND TRUST COMPANY BD Page 9 of 11
10 GOVERNMENT SECURITIES ELIGIBLE DEALERS PHILIPPINE BANK OF COMMUNICATIONS BD PHILIPPINE BUSINESS BANK, INC. (A SAVINGS BANK) BD PHILIPPINE NATIONAL BANK BD PHILIPPINE POSTAL SAVINGS BANK, INC. D PHILIPPINE SAVINGS BANK BD PHILIPPINE VETERANS BANK BD PLANTERS DEVELOPMENT BANK D RCBC SAVINGS BANK, INC. D RIZAL COMMERCIAL BANKING CORPORATION BD ROBINSONS BANK CORPORATION BD SECURITY BANK CORPORATION BD STERLING BANK OF ASIA INC. (A SAVINGS BANK) BD UCPB SAVINGS BANK, INC. D * BD = with Broker Dealer functions; B = with Broker functions; D = with Dealer functions INVESTMENT COMPANY ADVISER ATR KIMENG ASSET MANAGEMENT, INC BPI INVESTMENT MANAGEMENT, INC COCOLIFE ASSET MANAGEMENT COMPANY, INC FIRST METRO ASSET MANAGEMENT (FMAMI), INC GREPALIFE ASSET MANAGEMENT CORPORATION PHILAM ASSET MANAGEMENT, INC PHILEQUITY MANAGEMENT, INC RAMPVER FINANCIALS AND INSURANCE AGENCY, INC. doing business under the trade name RAMPVER FINANCIALS SUN LIFE ASSET MANAGEMENT COMPANY, INC VICSAL INVESTMENT, INC. Page 10 of 11
11 MUTUAL FUND DISTRIBUTOR BONDS, EQUITIES, SECURITIES AND TRADERS INC BPI CAPITAL CORPORATION BPI INVESTMENT MANAGEMENT, INC CITICORP FINANCIAL SERVICES AND INSURANCE BROKERAGE PHILIPPINES, INC COL FINANCIAL GROUP, INC FIRST METRO SECURITIES BROKERAGE CORPORATION RAMPVER FINANCIALS AND INSURANCE AGENCY, INC. doing under the trade name RAMPVER FINANCIALS RCBC CAPITAL CORPORATION TRITON SECURITIES CORPORATION Page 11 of 11
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