Securities and Exchange Commission

Beneficial Ownership Transparency Declaration (BOTD) Guidelines

Beneficial Ownership Transparency Declaration (BOTD) Guidelines

All corporations who have nominee directors or shareholders are now mandatorily required to disclose the information of principals or nominators who are the actual beneficial owners of the corporation. This article provides a succinct summary of the Beneficial Ownership Transparency Guidelines issued by the SEC.

2021 Guidelines on the Submission of AFS, GIS, and other Reportorial Requirements Through the SEC Online Submission Tool (SEC OST)

2021 Guidelines on the Submission of AFS, GIS, and other Reportorial Requirements Through the SEC Online Submission Tool (SEC OST)

All reportorial requirements required to be submitted to the SEC such as AFS and GIS must now be filed through the SEC OST. This article provides a simple explanation on the guidelines for submission and a short introduction to the SEC OST.

Electronic Submission of GIS, AFS, and Other Documents to the SEC

Electronic Submission of GIS, AFS, and Other Documents to the SEC

The SEC now allows the submission of General Information Sheets, Audited Financial Statements, and other documents through e-mail during the current state of public health emergency. This article discusses the mechanics of such electronic submission.