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Annex A

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									                                                                                                    ANNEX A

                                                                                                 ANNEX A




Name of Broker: _______________________________
Stock Market Investors Profile
For the year 2010


                PROFILE               Retail/ Individual           Institutional         Total
Total No. of Accounts
    Local
    Foreign
Total No. of Active Accounts
    Local
    Foreign
Total No. of New Accounts (2010)
    Local
    Foreign
Total No. of Closed Accounts (2010)
    Local
    Foreign




                                         Certified by: ______________________________
                                                           Signature over Printed Name
                                                                                              ANNEX B




Name of Broker: _______________________________
Stock Market Investors Profile
For the year 2010




For Retail Accounts                                  Total No. of Accounts   Total No. of Active Accounts
Gender
     Male
     Female
Annual Gross Income
     Less than P500,000
     P500,000 to P1 million
     Over P1 million
Age Bracket
     18-29
     30-44
     45-59
     60 and above
Profession
Services sector
     Banking and Finance
     Professionals (legal, medical, etc.)
     Other Services
Industry/Manufacturing
Agriculture
Self-employed/own business
Government
Retired
Location
Local Retail Investors
     Metro Manila
     Luzon
     Visayas
     Mindanao
     Overseas-based Filipinos
                                              USA
                                           Canada
                                   Other Americas
                                      Saudi Arabia
                             United Arab Emirates
                           Other Mideast countries
                                            Japan
                                            China
                                       Singapore
                                      Hong Kong
                            Other Asian countries
                            Australia and Oceania
                                  Other countries
No. of Foreign Retail Investors
Nationality of Foreign Retail Investors
                                       Americans
                                         Chinese
                                        Japanese
                                       Europeans
                                    Singaporeans
                                      Middle East
                                         Koreans
                                       Taiwanese
                               Other nationalities




                                                     Certified by: _______________________________
                                                                        Signature over Printed Name
Name of Broker:                                           .
Risk Assessment for the year 2011 Annual Regulatory Examination
For the year 2010


                                        No. Of Trades                                                    Value Of Trades
                Online Trading                           Non-Online Trading            Online Trading                            Non-Online Trading
          Buy                    Sell                   Buy               Sell   Buy                           Sell             Buy




                                                                                                        Certified by: _______________________________
                                                                                                                           Signature over Printed Name
                 ANNEX C




  Non-Online Trading
                   Sell




____________________
re over Printed Name
                                                                          ANNEX D




Name of Broker:                                           .
Risk Assessment for the year 2011 Annual Regulatory Examination
For the year 2010


 PROFILE OF ONLINE
                      Retail/ Individual   Institutional          Total
      INVESTORS
Total No. of Online
Accounts
   Local
   Foreign
Total No. of Active
Online Accounts
   Local
   Foreign
Total No. of New
Online Accounts
   Local
   Foreign
Total No. of Closed
Online Accounts
   Local
   Foreign

                                            Total No. of
  For Retail Online     Total No. of
                                           Active Online
      Accounts        Online Accounts
                                             Accounts
Gender
   Male
   Female

Annual Gross Income
   Less than
   P500,000
   P500,000 to P1
   million
   Over P1 million
Age Bracket
   18-29
   30-44
   45-59
   60 and above
Location
Local
   Metro Manila
   Luzon
   Visayas
   Mindanao
Foreign




                  Certified by: _______________________________
                                     Signature over Printed Name

								
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