Securities and Exchange Commission(SEC)

Browse over 2894 from this government agency

Go Back

REQUEST
SUBMITTED

You have submitted an FOI request

Date: Oct. 14, 2020, 4:43 p.m.

PROCESSING
REQUEST

Your request is already in review

Date: 2020-10-19 07:53:17.000000

REQUEST
CLOSED

Your request was closed

4

RATE YOUR
REQUEST

How was your request?

Breakdown of the Scale of Fines 2018-2019 (categorized by provision and by number of firms)

Published by Securities and Exchange Commission(SEC) on Oct. 14, 2020.
Requested from SEC by R. Gabuya at 04:43 PM on Oct. 14, 2020.
Purpose: Research
Date of Coverage: 01/01/2018 - 12/31/2019
Tracking no: #SEC-749029298109

R.GABUYA Oct. 14, 2020, 4:43 p.m.

For CY2019, total collections by SEC included Php190.199-Million in Fines and Penalties. I would like to ask for a breakdown of the amount collected above by SRC/IRR provision enumerated in the scale of fines (https://www.sec.gov.ph/wp-content/uploads/2019/11/2017ScaleOfFines.pdf) Example: Php xx-Million was collected in violation of Sec. 8 and 12 Php yy-Million in fines collected from Sec. 10, Rule 10.1 Also, please include a breakdown of the number of firms fined per provision/category. Please provide for the requested info for the year CY2018 and CY2019. Thank you.

I.GONZALES Oct. 19, 2020, 7:53 a.m.

October 19, 2020 Dear Restituto Felipe, Thank you for your request dated Oct 14, 2020 under Executive Order No. 2 (s. 2016) on Freedom of Information in the Executive Branch, for Breakdown of the Scale of Fines 2018-2019 (categorized by provision and by number of firms). We received your request on Oct 14, 2020 and will respond on or before Nov 04, 2020 04:43:55 PM, in accordance with the Executive Order's implementing rules and regulations. Should you have any questions regarding your request, kindly contact me using the reply function on the eFOI portal at https://www.foi.gov.ph/requests/aglzfmVmb2ktcGhyHQsSB0NvbnRlbnQiEFNFQy03NDkwMjkyOTgxMDkM, for request with ticket number #SEC-749029298109. Thank you. Respectfully, Isma Gonzales FOI Officer

Is this request offensive?

Requests for personal information and vexatious requests are not considered valid requests for Official Information.

If you believe this request is not suitable, you can report it for attention by the site administrators.