Ft 2016 ACTI,Cl. ACCOMPLISHMENT

RATING

1

100010

100%

100%

The Commission's broad regulatory scope covers the corporate sector,

capital market participants,

securities and investment

instruments, and the investing public. The

Securities Act (Commonwealth

Act. No. 83) established the

SEC in 1936 mainly to

administer the registration of

securities, exchanges,

brokers, dealers and salesmen.

Corporate and Capital Market Regulation

Services

securities and Exchange

Commission

MFO ACCOUNTABILITY REPORT CARD (MARC-1)

OUTPUTS

DEPARTMENT

BUDGET

FY 2016 (in miqic..

PERFORMANCE INDICATORS

FY 2015 ACTUAL ACCOMPLISHMENT

FY 2016 TARGET

OVERALL RESULTS ASSESSME:.-

SERVICE; PRODUCT RESULTS

Php33.666

MAJOR FINAL OUTPUTS

Corporate and Capital Market Development

Services

Number of planned measures promulgatedArnplemented

Percentage of measures promulgated/Implemented that are rated good or better

Percentage of measures promulgated/Implemented within the prescnbed timeframe

Technical Assistance

Number of technical assistance rendered

Percentage of dleifis who rate the technical assistance as good or better

Percentage of requests for technical assistance that are acted upon within the prescribed timeframe

9

10

20 planned measures planned measures planned measures

100%

100% 100%

100°/o 100% 100%

696 0 888 technical assistance technical assistance technical assistance

100% 1.00% 100% clients clients

1.00% 1.00% 1.00% requests requests

Policy measures implemented to enhance the regulatory framework and foster continued growth of the capital market in particular and the business sector in general

Php152.783 Registration/ Licensing Services

Number of registrations 274,732 11,500 119,108 approved and licenses issued registrations registrations registrations

Percentage of applications processed pursuant to 100% 100% 100% standard processing procedures and timeframe

Percentage of license or permit applications and 100% 1000/0 100% renewals processed within standard processing timeframe

Monitoring

Number of target 252,230 70,780 182,784 entities/reports/disclosures monitored and evaluated monitored & evaluated monitored & monitored & evaluated

evaluated Percentage of target entities/reports/disclosures 100% 100% 100% monitored and evaluated pursuant to standard monitoring and evaluating parameters

Percentage of target entMes/reports/disclosures 1000k 100% 100% monitored and evaluated within standard tfineframe

Enforcement

Percentage of errant firms and individuals Imposed the appropriate fines and/or penalties

Percentage of enforcement activities undertaken in accordance with rules, regulations and standards

Percentage of enforcement activities undertaken within standard dmefrarne

STO and GASS

100°/0 100% 100°/o

100% 100°/0 100%

100% 10 0 °kJ 100%

SUPPORT TO OPERATIONS

Php89.596 PosUng of Quality Management System ISO 9001:2008 Certificate or Quality Manual and Quality Procedures/ PAVVIM

Roll-out of Integrated Business Registration System (IBRS) to target SEC Extension Offices (EOs)

Roll-out of Certificabon Issuance Systems-Unified Reference Database (CIS-URDB) to target SEC Extension Offices (E0s)

100% 100% 100%

7 7 extension offices extension offices

5 7 extension offices extension offices

MFO ACCOUNTABILITY REPORT CARD (MARC-1)

Php359.406 Budget Utilization Rate

Obligations BUR Ratio of total obligations against all allotments.

84% Ph p733,104, 000

Ph0876,964,000

100%

85% Php711,236,000

P1tp840,456,000

FY 2116 ACTUAL j RATING ACCOMPLISHMENT

OVERALL RESULTS ASSESSMENT

SERVICE , PRODUCT RESULTS

DEPARTMENT

BUDGET

FY 2015 (in fl;iIhcn

OUTPUTS PERFORMANCE

EN 2015 ACTUAL INDICATORS ACCOMPLISHMENT FY 2015 TARGET

Disbursements BUR Ratio of total disbursement to total obligations.

Public Financial Management

Budget and Financial Accountability Reports (BEARS)

Report on Ageing Cash Advance

COA Financial Reports

APCPI

submission of APP

79°/o 100% Php164,400,000

Php208,428,000

reporting requirements of COA and DBM

100%

100%

100%

100%

100%

100%

100%

100%

100%

100%

securities and Exchange

Commission

The Commission's broad regulatory scope covers the corporate sector,

capital market participants,

securities and investment

instruments, and the investing Public. The GENERAL

Securities Act

ADMINISTRATIVE (Commonwealth SUPPORT SERVICES

Act. No. 83) established the

SEC in 1936 mainly to

administer the registration of

securities, exchanges,

brokers, dealers and salesmen.

Source: Agency Form A/A-1; Assessment of DBM 8F113-A;

100%

100% 100%

100%

r-- 100%

100%

100% lo ciwi>V

82% 82%

Php253,355,000

Ph p316,723, 000