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    SEC Certification Exam Modules and Topics PDF

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    makoto-san
    The document outlines the modules and topics covered in the SEC Certification Examination. It lists 6 modules: 1) Fundamentals of Securities, 2) Economic Principles and Market Theories, 3) Securities Regulation, 4) Corporate Governance, 5) Risk Management, and 6) Anti-Money Laundering. Module 1 covers topics like formation of corporations, classification of shares, and rights of stockholders. Module 2 discusses economic and market concepts like business cycles, securities analysis, and portfolio management. Module 3 focuses on regulation of securities, market professionals, and institutions. Subsequent modules address corporate governance, risk management, and anti-money laundering laws and procedures. Source materials for the topics are provided from websites

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    SEC Certification Exam Modules and Topics PDF

    Uploaded by

    makoto-san
    622 views2 pages
    The document outlines the modules and topics covered in the SEC Certification Examination. It lists 6 modules: 1) Fundamentals of Securities, 2) Economic Principles and Market Theories, 3) Securities Regulation, 4) Corporate Governance, 5) Risk Management, and 6) Anti-Money Laundering. Module 1 covers topics like formation of corporations, classification of shares, and rights of stockholders. Module 2 discusses economic and market concepts like business cycles, securities analysis, and portfolio management. Module 3 focuses on regulation of securities, market professionals, and institutions. Subsequent modules address corporate governance, risk management, and anti-money laundering laws and procedures. Source materials for the topics are provided from websites

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    SEC Certification Exam Modules and Topics.pdf

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    The document outlines the modules and topics covered in the SEC Certification Examination. It lists 6 modules: 1) Fundamentals of Securities, 2) Economic Principles and Market Theories, 3) Securities Regulation, 4) Corporate Governance, 5) Risk Management, and 6) Anti-Money Laundering. Module 1 covers topics like formation of corporations, classification of shares, and rights of stockholders. Module 2 discusses economic and market concepts like business cycles, securities analysis, and portfolio management. Module 3 focuses on regulation of securities, market professionals, and institutions. Subsequent modules address corporate governance, risk management, and anti-money laundering laws and procedures. Source materials for the topics are provided from websites

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    622 views2 pages

    SEC Certification Exam Modules and Topics PDF

    Uploaded by

    makoto-san
    The document outlines the modules and topics covered in the SEC Certification Examination. It lists 6 modules: 1) Fundamentals of Securities, 2) Economic Principles and Market Theories, 3) Securities Regulation, 4) Corporate Governance, 5) Risk Management, and 6) Anti-Money Laundering. Module 1 covers topics like formation of corporations, classification of shares, and rights of stockholders. Module 2 discusses economic and market concepts like business cycles, securities analysis, and portfolio management. Module 3 focuses on regulation of securities, market professionals, and institutions. Subsequent modules address corporate governance, risk management, and anti-money laundering laws and procedures. Source materials for the topics are provided from websites

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 2

    SEC CERTIFICATION EXAMINATION MODULES 1-6 AND TOPICS COVERED

    Under the Revised SEC Certification Programs

    MODULE TOPIC SOURCE


    MODULE 1:  Formation of Corporations downloadable at SEC website
    FUNDAMENTALS OF  Classification of Shares
    SECURITIES  Rights of Stockholders Corporation Code of the
     Dividend Declarations Philippines
     Definition of Securities link:
     Fixing of Records/Payment Dates http://www.sec.gov.ph/wp-
     QBs/Retail Buyers content/uploads/2015/08/Co
     Market Professionals and Institutions rporation_Code_of_the_Phils_B
    atas_Pambansa_68.pdf

    can be searched via google


    keywords: Corporation Code
    of the Philippines

    please see SRC Rules Section


    3, 8-12, 22, 28-32

    link:
    http://www.sec.gov.ph/wp-
    content/uploads/2015/11/Se
    curities_Regulation_Code_RA8
    799.pdf

    can be searched via google


    keywords: RA 8799 of the
    Philippines

    MODULE 2: ECONOMIC  Business Cycle file will be sent via e-mail


    PRINCIPLES and MARKET  Securities Analysis
    THEORIES  Portfolio Management
     Financial Analysis
    MODULE 3: SECURITIES  Regulation of Securities (registration, exempt file will be sent via e-mail
    REGULATION transactions, exempt securities, MTO, reportorial
    and other requirements)
     Regulation of Market Professionals (licensing,
    monitoring, supervision, ethical standards)
     Regulation of Market Institutions (Exchanges, OTC,
    ATS, Clearing Agency, Securities Depository, TAs)
     Enforcement of SRC Violations, Sanctions
    (administrative, civil, criminal), CDO, settlement
    offers
     Exemptive relief, confidential treatment,
    international/regional cooperation (IOSCO
    principles, etc.)
    MODULE 4: CORPORATE  Definition downloadable at SEC website
    GOVERNANCE  OECD/G20 Principles of CG
     Rights of Minority Shareholders (Best Practices) link:
     Board/Management Functions http://www.sec.gov.ph/wp-
     Responsibilities of the Board as a Body/Individual content/uploads/2015/08/Re
    Directors vised-Code-CG.pdf
     Board Committees
     Independent can be searched via google
    Directors/Qualifications/Disqualifications/Qualities keywords: SEC memorandum
    /Attendance to Board Meetings circular no. 6 series of 2009

    1
    MODULE TOPIC SOURCE
     Corporate Officers and their Responsibilities
    MODULE 5:  Fundamentals of RM file will be sent via e-mail
    RISK MANAGEMENT  RM Under SRC Rules
    MODULE 6:  Definition, Coverage can be searched via BSP
    ANTI-MONEY  Stages of ML website
    LAUNDERING  Predicate Crimes
     KYC, CTR/STR, Record Keeping, Training link:
     International Cooperation/FATF/FIUs http://www.bsp.gov.ph/regul
     Bank Inquiry/Forfeiture/Asset Freeze ations/laws_aml.asp
     Penalties
     Composition and Functions of AMLC
     Jurisdiction over AMLC cases

    oOo

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