Sec Form Exa-001: Revised 2018

Revised 2018
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SEC FORM ExA-001

INITIAL APPLICATION FOR ACCREDITATION OF
AN INDIVIDUAL EXTERNAL AUDITOR
Application for accreditation to act as external auditor of
(Please check appropriate box):
[ ] Group A 1
[ ] Group B 2
[ ] Group C 3
1. Name of Applicant:_____________________________________________________________________
2. Place & Date of Birth:______________________________________________________Age:_________
3. Business Address:_____________________________________________________________________
Telephone No. __________________________________ Fax No. _______________________________
4. Education:
Course Name of School Year Finished/Honors

Received
Accountancy
Other Collegiate Course/s
Post-graduate
5. PRC License Number: ____________________ Date Granted _______________________

Expiration Date_______________________
6. BOA Accreditation No.: ____________________ Date Granted ________________________

(If applicant is a Partner of a Firm, indicate Expiration Date________________________
Number of the Firm)
7. Number of Years of Audit Experience (as in-charge, manager, partner or equivalent) _____________
1
Group A(i) Issuers of registered securities which have sold a class of securities pursuant to a registration under Section 12 of the Securities Registration
Code (SRC) except those issuers of registered timeshares, proprietary and non-proprietary membership certificates which are now covered in
Group B; (ii) Issuers with a class of securities listed for trading in an Exchange; (iii) Public companies or those which have total assets of at least Fifty
Million Pesos (P50,000,000.00) or such amount as the Commission shall prescribe, and having two hundred (200) or more holders each holding at least
One Hundred (100) shares of a class of its equity securities.
2
Group B (i) Issuers of registered timeshares, proprietary and non-proprietary membership certificates; (ii) Investment Houses; (iii) Brokers and Dealers of
Securities; (iv) Investment Companies; (v) Government Securities Eligible Dealers (GSEDs); (vi) Universal Banks Registered as Underwriters of Securities;
(vii) Investment Company Advisers; (viii) Clearing Agency and Clearing Agency as Depository; (ix) Stock and Securities Exchange/s; (x) Special Purpose
Vehicles registered pursuant to Special Purpose Vehicle Act of 2002, and its implementing rules; ( xi) Special Purpose Corporation registered under the
Securitization Act of 2004 and its implementing rules; (xii) Such other corporations which may be required by law to be supervised by the Commission.
3
Group C (i) Financing Companies; (ii) lending Companies; (iii) Transfer Agents.
Revised 2018
8. Name of Audit Firm/Partnership Wherein Audit Experience was Obtained (If necessary, provide
information in a separate sheet as Annex) _________________________________________________
9. Audit Clients Profile:
Name of Period of
Corporate Clients Engagement Amount of Total Assets
10. List of Trainings/Seminars Attended
Title of Seminar/Topics Organizer Date No. of

Hours
11. Exhibits
i. Copy of the Certificate of Accreditation issued by the Board of Accountancy (BOA). In case of a
partner of a firm, the certificate should include a list issued by the BOA which indicates the
names of the qualified partner/s of the firm;
ii. Quality Assurance Manual;
iii. Copy of Audited Financial Statements (AFS) of the applicant’s two (2) largest clients in terms
of assets;
iv. In case of an application for Group A, B or C accreditation, notarized certification that the
applicant has fundamental knowledge of the regulatory requirements on each of the covered
secondary licensees of the Commission;
v. Copy of certificates of participation/attendance in relevant trainings and seminar.

Revised 2018
For those availing a mutual recognition of accreditation granted by the Bangko Sentral ng Pilipinas
(BSP) and Insurance Commission (IC), as allowed under SEC memorandum Circular No. 13, s. of
2009, only the following documents shall be attached to the application:
i. Certificate of accreditation issued by BSP and IC;
ii. Notarized certification that the application has fundamental knowledge of the regulatory
requirements on companies under Group C;
iii. Copy of the latest AFS of the applicant’s largest clients in terms of assets.
12. Processing Fee
This application for accreditation has been submitted along with the payment of the prescribed fee in the
amount of __________________ under O.R. No. _____________________.
I hereby certify that the foregoing information are true and correct.
Lastly, I shall allow SEC to publish necessary information in relation to my accreditation.
________________________
Applicant’s Signature
Date: _________________________
Place:_________________________
JURAT

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Revised 2018

SEC FORM ExA-001

2. Place & Date of Birth:______________________________________________Age:_

Course Name of School Year Finished/Honors

Other Collegiate Course/s

5. PRC License Number: Date Granted ___

6. BOA Accreditation No.: Date Granted ____

9. Audit Clients Profile:

10. List of Trainings/Seminars Attended

Title of Seminar/Topics Organizer Date No. of

ii. Quality Assurance Manual;

v. Copy of certificates of participation/attendance in relevant trainings and seminar.

i. Certificate of accreditation issued by BSP and IC;

12. Processing Fee

Lastly, I shall allow SEC to publish necessary information in relation to my accreditation.

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