+ Follow COMPLIANCE AND SURVEILLANCE Tag
Array
(
[results] => Array
(
[0] => Array
(
[ArticleID] => 280165
[Title] => Pacific Plans planholders accuse SEC of ‘inaction’
[Summary] => The Parents Enabling Parents Coalition (PEPC), an organization formed by aggrieved planholders of troubled pre-need firm Pacific Plans Inc. (PPI), has assailed the Securities and Exchange Commission (SEC) for not doing its part in protecting the interest of the investing public.
[DatePublished] => 2005-06-03 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[1] => Array
(
[ArticleID] => 262441
[Title] => PSE mulls creation of integrity board
[Summary] => The Philippine Stock Exchange (PSE) could set up an integrity board that would ensure the objectivity of audits conducted by its trading watchdog, the Compliance and Surveillance Group (CSG).
According to Securities and Exchange Commission (SEC) chairman Lilia Bautista, they may no longer require the PSE to spin off the CSG into a separate corporation but instead, merely require the exchange to create an integrity board that that would ensure the CSG’s independence.
[DatePublished] => 2004-08-24 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[2] => Array
(
[ArticleID] => 252899
[Title] => SEC presses PSE on independence of surveillance unit
[Summary] => The Securities and Exchange Commission has directed the Philippine Stock Exchange (PSE) to submit by Wednesday (June 9) the interim measures to ensure the independence of its Compliance and Surveillance unit.
The directive came after the PSE board of directors decided to retain the Compliance and Surveillance Group within the PSE organization despite calls for the establishment of a separate company that will handle the bourse’s examination and investigation of trading participants.
[DatePublished] => 2004-06-07 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] =>
[AuthorName] =>
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[3] => Array
(
[ArticleID] => 189752
[Title] => SEC files raps vs Phil-Asia Care execs
[Summary] => The Securities and Exchange Commission has filed before the Makati Fiscal’s office a criminal complaint against the incorporator-directors and officers of unlicensed pre-need firm Phil-Asia Care Plans Inc.
Tomas Syquia, head of the SEC’s Compliance and Surveillance department, said among those who were named as respondents to the case were Phil-Asia president Vicente Afulgencia and other officers of the company.
The filing of the criminal complaint is in line with the SEC’s thrust to rid the pre-need industry of unscrupulous agents and corporations.
[DatePublished] => 2002-12-30 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[4] => Array
(
[ArticleID] => 146083
[Title] => PSE eyes shorter trading cycle period
[Summary] => The Philippine Stock Exchange (PSE) is targetting a further reduction in the trading cycle to drive up liquidity in the market and encourage more investments.
PSE president Ernest Leung said one of the areas the Exchange will look at for improvement this year is the lessening of the settlement period from the current T+3 level.
[DatePublished] => 2002-01-06 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[5] => Array
(
[ArticleID] => 101021
[Title] => What if the market didn't open?
[Summary] =>
It was business as usual at the stock market last Wednesday. But would it have
been any different had trading been suspended?
Not necessarily, as most stock analysts think so, since technically the market
has been moving in a downward channel during the past two weeks. "Barring any
trend reversal, a lot expect the index (Phisix) to fall in the 1,600 level
within the next few days," said Gonzalo Bongolan, head of research of PCCI
Securities Brokers Corp.
"The damage has been done.
[DatePublished] => 2000-03-10 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[6] => Array
(
[ArticleID] => 103182
[Title] => The ugly truth - Why And Why Not
[Summary] =>
The more things change, the more they remain the same.
You can say this again and again of Philippine politics that is, after, all,
the poisoned well whence the smoldering crisis in the stock market is coming
from.
[DatePublished] => 2000-03-10 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1539298
[AuthorName] => Nelson A. navarro
[SectionName] => Opinion
[SectionUrl] => opinion
[URL] =>
)
[7] => Array
(
[ArticleID] => 95259
[Title] => Gov't scrambles to keep bourse open
[Summary] =>
President Estrada's economic advisers scrambled last night to keep the stock
market open.
Finance Secretary Jose Pardo, who met at the Bangko Sentral ng Pilipinas with
BSP Governor Rafael Buenaventura, announced last night that the stock exchange
would open today after he appealed to the five-member board of the Securities
and Exchange Commission (SEC).
Minutes later, SEC Chairman Perfecto Yasay Jr.
[DatePublished] => 2000-03-08 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1805266
[AuthorName] => Marianne V. Go
[SectionName] => Headlines
[SectionUrl] => headlines
[URL] =>
)
[8] => Array
(
[ArticleID] => 100958
[Title] => Yap is new PSE chairman
[Summary] =>
Veteran stockbroker Felipe Yap, who first gained prominence as a leader in the
mining industry, overwhelmingly won the nod of Philippine Stock Exchange
members yesterday to lead the new board of governors.
Yesterday's election results showed Yap, who represents his own F. Yap
Securities Inc., garnered the most number of votes among the 20
broker-candidates and was unchallenged in the post of chairman.
As the new PSE chairman, Yap replaces Ma. Trinidad Kalaw of First Orient
Securities, whose term was capped by the controversy over gaming stock BW
Resources.
[DatePublished] => 2000-03-05 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[9] => Array
(
[ArticleID] => 103045
[Title] => One born every minute - My Viewpoint
[Summary] =>
The 69-page investigation report submitted by the Compliance and Surveillance
Group of the Philippine Stock Exchange basically confirms what the whole town
had already known from leaks of an earlier preliminary report of the same
group. The report found sufficient evidence of stock price manipulation on the
part of Mr. Dante Tan, major stockholder of BW Resources Corporation. Eight
member-brokerage firms of the exchange were also accused of complicity in the
price manipulation, in violation of PSE and Securities and Exchange Commission
rules.
Mr.
[DatePublished] => 2000-02-17 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1202601
[AuthorName] => by Ricardo V. Puno
[SectionName] => Opinion
[SectionUrl] => opinion
[URL] =>
)
)
)
COMPLIANCE AND SURVEILLANCE
Array
(
[results] => Array
(
[0] => Array
(
[ArticleID] => 280165
[Title] => Pacific Plans planholders accuse SEC of ‘inaction’
[Summary] => The Parents Enabling Parents Coalition (PEPC), an organization formed by aggrieved planholders of troubled pre-need firm Pacific Plans Inc. (PPI), has assailed the Securities and Exchange Commission (SEC) for not doing its part in protecting the interest of the investing public.
[DatePublished] => 2005-06-03 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[1] => Array
(
[ArticleID] => 262441
[Title] => PSE mulls creation of integrity board
[Summary] => The Philippine Stock Exchange (PSE) could set up an integrity board that would ensure the objectivity of audits conducted by its trading watchdog, the Compliance and Surveillance Group (CSG).
According to Securities and Exchange Commission (SEC) chairman Lilia Bautista, they may no longer require the PSE to spin off the CSG into a separate corporation but instead, merely require the exchange to create an integrity board that that would ensure the CSG’s independence.
[DatePublished] => 2004-08-24 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[2] => Array
(
[ArticleID] => 252899
[Title] => SEC presses PSE on independence of surveillance unit
[Summary] => The Securities and Exchange Commission has directed the Philippine Stock Exchange (PSE) to submit by Wednesday (June 9) the interim measures to ensure the independence of its Compliance and Surveillance unit.
The directive came after the PSE board of directors decided to retain the Compliance and Surveillance Group within the PSE organization despite calls for the establishment of a separate company that will handle the bourse’s examination and investigation of trading participants.
[DatePublished] => 2004-06-07 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] =>
[AuthorName] =>
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[3] => Array
(
[ArticleID] => 189752
[Title] => SEC files raps vs Phil-Asia Care execs
[Summary] => The Securities and Exchange Commission has filed before the Makati Fiscal’s office a criminal complaint against the incorporator-directors and officers of unlicensed pre-need firm Phil-Asia Care Plans Inc.
Tomas Syquia, head of the SEC’s Compliance and Surveillance department, said among those who were named as respondents to the case were Phil-Asia president Vicente Afulgencia and other officers of the company.
The filing of the criminal complaint is in line with the SEC’s thrust to rid the pre-need industry of unscrupulous agents and corporations.
[DatePublished] => 2002-12-30 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1804021
[AuthorName] => Zinnia B. Dela Peña
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[4] => Array
(
[ArticleID] => 146083
[Title] => PSE eyes shorter trading cycle period
[Summary] => The Philippine Stock Exchange (PSE) is targetting a further reduction in the trading cycle to drive up liquidity in the market and encourage more investments.
PSE president Ernest Leung said one of the areas the Exchange will look at for improvement this year is the lessening of the settlement period from the current T+3 level.
[DatePublished] => 2002-01-06 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[5] => Array
(
[ArticleID] => 101021
[Title] => What if the market didn't open?
[Summary] =>
It was business as usual at the stock market last Wednesday. But would it have
been any different had trading been suspended?
Not necessarily, as most stock analysts think so, since technically the market
has been moving in a downward channel during the past two weeks. "Barring any
trend reversal, a lot expect the index (Phisix) to fall in the 1,600 level
within the next few days," said Gonzalo Bongolan, head of research of PCCI
Securities Brokers Corp.
"The damage has been done.
[DatePublished] => 2000-03-10 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[6] => Array
(
[ArticleID] => 103182
[Title] => The ugly truth - Why And Why Not
[Summary] =>
The more things change, the more they remain the same.
You can say this again and again of Philippine politics that is, after, all,
the poisoned well whence the smoldering crisis in the stock market is coming
from.
[DatePublished] => 2000-03-10 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1539298
[AuthorName] => Nelson A. navarro
[SectionName] => Opinion
[SectionUrl] => opinion
[URL] =>
)
[7] => Array
(
[ArticleID] => 95259
[Title] => Gov't scrambles to keep bourse open
[Summary] =>
President Estrada's economic advisers scrambled last night to keep the stock
market open.
Finance Secretary Jose Pardo, who met at the Bangko Sentral ng Pilipinas with
BSP Governor Rafael Buenaventura, announced last night that the stock exchange
would open today after he appealed to the five-member board of the Securities
and Exchange Commission (SEC).
Minutes later, SEC Chairman Perfecto Yasay Jr.
[DatePublished] => 2000-03-08 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1805266
[AuthorName] => Marianne V. Go
[SectionName] => Headlines
[SectionUrl] => headlines
[URL] =>
)
[8] => Array
(
[ArticleID] => 100958
[Title] => Yap is new PSE chairman
[Summary] =>
Veteran stockbroker Felipe Yap, who first gained prominence as a leader in the
mining industry, overwhelmingly won the nod of Philippine Stock Exchange
members yesterday to lead the new board of governors.
Yesterday's election results showed Yap, who represents his own F. Yap
Securities Inc., garnered the most number of votes among the 20
broker-candidates and was unchallenged in the post of chairman.
As the new PSE chairman, Yap replaces Ma. Trinidad Kalaw of First Orient
Securities, whose term was capped by the controversy over gaming stock BW
Resources.
[DatePublished] => 2000-03-05 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1096615
[AuthorName] => Christina Mendez
[SectionName] => Business
[SectionUrl] => business
[URL] =>
)
[9] => Array
(
[ArticleID] => 103045
[Title] => One born every minute - My Viewpoint
[Summary] =>
The 69-page investigation report submitted by the Compliance and Surveillance
Group of the Philippine Stock Exchange basically confirms what the whole town
had already known from leaks of an earlier preliminary report of the same
group. The report found sufficient evidence of stock price manipulation on the
part of Mr. Dante Tan, major stockholder of BW Resources Corporation. Eight
member-brokerage firms of the exchange were also accused of complicity in the
price manipulation, in violation of PSE and Securities and Exchange Commission
rules.
Mr.
[DatePublished] => 2000-02-17 00:00:00
[ColumnID] => 133272
[Focus] => 0
[AuthorID] => 1202601
[AuthorName] => by Ricardo V. Puno
[SectionName] => Opinion
[SectionUrl] => opinion
[URL] =>
)
)
)
abtest
