Guidelines on the Electronic Submission of Prescribed Reports to the BSP-Supervision and Examination Sector (SES) through the Supervisory Data Center (SDC)

BnNOxO STNT;TAL NO PILIFINAS OFFICE OF THE DEPUTY GOVERNOR SUPERVISION AND EXAMINATION SECTOR MEMORANDUM NO. M-2017-02E To ALL BANKS, NON-BANKS WITH QUASI-BANKING FUNCTION (NBQBS), NON-STOCK SAVINGS AND TOANS ASSOCIATIONS (NSSLAS|, AND TRUST CORPORATIONS (TCs) Subject : Guidelines on the Electronic Submission of Prescribed Reports to the BSP-Supervision and Examination Sector (SESI through the Supervisory Data Center (SDC) Pursuant to on-going initiatives of maximizing available information technology and in accordance with existing prescribed procedures in the submission of reports to the BSP-SES, the following submission guidelines shall be observed: L All reports prescribed for submission to the BSP-SES through the SDC shall be transmitted electronically within deadline to the official SDC e-mail address prescribed for the subject reports. The electronic submission shall be supported with the corresponding scanned control prooflist in Portable Document File (PDF) format. The scanned PDF of the control prooflist duly signed by the authorized official of the reporting BSP- supervised financial institution (BSFI) need not be notarized. 2. Attached as Annex A is the list of reports for electronic submission to the SDC and the official SDC e-mail address prescribed for each report. The prescribed data entry template (DET), database file structure and corresponding control prooflist for each report listed in Annex A can be downfoaded from http://www.bsp.gov.ph/SES/reporting_templotes. Submission procedures of other reports not identified in Annex A remain unchanged and shall continue to be in force unless advised otherwise. 3. Hard copy submission of reports listed in Annex A shall no longer be accepted. BSFIs that are unable to transmit electronically can submit such reports and the corresponding scanned control prooflist in compact disc (CD) or any portable storage device (e.g., USB) through messengerial or postal services within the prescribed deadline to: .1004 A. Mobini St.. Molofe Monilo, Philippines . (6321 7W7701 . www.bsp.gov.ph . [email protected]

The Director Supervisory Data Center (SDC) Bangko Sentral ng Pilipinas L1th Floor, Multi-Storey Building BSP Complex, A. MabiniStreet Malate, Manila 1004 4. Only electronic submissions originating from officially registered e-mail address/es of the BSFI shall be recognized and accepted by the SDC. Same registered e-mail address/es shall be used by the SDC in electronically acknowledging the submitted report and transmitting the corresponding validation results. 5. A BSFI can officially register a maximum of four (4) e-mail addresses. Of the four (4), one (L) should belong to the Compliance Officer. Each officially designated e-mail address must be registered to only one official. In no case shall there be two or more registered officials for a single registered e-mail address. 6. For this purpose, the BSFI is required to submit an accomplished Registration Form (RF) signed by the authorized official for Category A-2 reports. The prescribed RF and corresponding Excel file can be downfoaded from http://www.bsp.gov.ph/SES/reporting_templotes or requested directly from the SDC. 7. The scanned copy of the signed RF in PDF and its corresponding Excel file shall be submitted together to the following e-mail addresses: Type of Institution E-mailAddress U niversal/Commercial Ba nks sdckb-reportrf @ bsp.gov. ph Thrift Banks sdctb-repo rtrf @ bsp. gov. p h Rural and Cooperative Banks sdcrb-re portrf @ bsp. gov. ph Non-Banks with Quasi Banking Function sdcnbfi-reportrf @ bsp.gov. ph Non-Stock Savings and Loans Associations sdcnssla-repo rtrf @ bsp.gov. ph Trust Corporations sdctc-repo rtrf @ bsp.gov. ph 8. Subsequent changes in the official registry can be facilitated by submitting an updated RF and corresponding Excel file as provided in items 5 to 7. The updated RF shall constitute the BSFI's updated list of registered e-mail addresses and designated officials of the BSFI and shall supersede the previously submitted RF.

9. The BSFI should develop and implement its own internal policy and system to ensure accountability and responsible use of the registered e- mail addresses. lt should likewise ensure that the registered e-mail addresses and responsible officials remain current and updated. 10. Report submissions that do not conform to the above prescribed procedures shall not be accepted and, thus, considered unsubmitted. lt likewise follows that only the DETs and/or database file structures prescribed by the BSP for the reports listed in Annex A shall be accepted as compliant with the existing reportorial requirements subject to validation and applicable penalties for delayed and/or erroneous reporting. 11. BSP-SES shall presume that e-mails released to the officially registered e- mail address/es are duly received by the BSFI, absent notification from the BSP system of the failure of delivery. This Memorandum supersedes Memorandum M-2016-015 dated L6 November 20t6. For compliance. HIG. FONACIER eputy Governor ll September 2OL7

Annex A Page 1 of4 List of Prescribed Rcports for Elcctronk fubmbslon to the Supcrvbory Dat Ccntor (SDCI Pursulnt to M.morendum ltlo, M-2O17-028 Rcmrt Thh Frequency Dcadlinc Prcscrlbcd E-mail Address Covcrcd lnstftutbns Rclcvant lssuencc UKBS, TBs, RCBs and 2 banking days after end of Trust Entities wlth 1 Report on Non-Deliverable Forward Transactions Against Philippine Peso Daily sdc-ndf@bsp,gov.ph Memorandum No. M-2O13-018 reference date Type 2 Derivatlve Licens€ 3 banklng days after end of sdckb-cdrc@ bsp.gov.ph UKBs reference week 2 Consolidated Daily Report of Condition (CDRC) Weekly Memorandum No. M-2015-O15 6 banking days after end of sdctb-cdrc@ bsp.gov. ph TBs reference week riVeekly Report on Required and Available Reserves Against Deposit 4 banking days after end of 3 Weekly sdcrb-wrrar@ bsp.gov.ph RCBs Memorandum No, M-2O13-O48 Liabilities (WRRARI reference week Consolidated Report on Required and Available Reserves Against Deposit 4 banklng days after end of 4 Weekly [email protected],ph NBQBs Memorandum No. M-2013-O59 iubstitutes and Special Financinc (CRMR) reference week Report on Peso-Denominated Common Trust Fund and Other Similarly 3 banklng days after end of sdcktstrust@ bsp.gov.ph UKBs with Trust 5 Weekly Managed Funds (CTF) reference week sdctb-trust@ bso,sov.Dh TBs Authoritv Memorandum No. M-2013-057 3 banking days after end of sdckb-trust@ bsp,sov,ph UKBs with Trust 6 Weekly reference week sdctb-trust@ bsp.gov. ph IBs AuthoriW 7 banklng days after 15th and 7 Statement of Capital Required and Capital Accounts Semi-monthly sdcnbqb-crca@ bsp.gov.ph NBQBs Memorandum dated Oll Feb 2004 end ofthe month 15 banking days after end of Memoranda Nos. M-2015-030 and Monthly [email protected] NBQBS reference month M-2015-O31 8 Income and Expenses On or before the end of the Quarterly sdcnssla-csoc@ bsp. gov.ph NSSLAS Memorandum No. M-2O15-029 immediately following month sdckb-brokering@ bsp. gov. ph UKBs with 15 banking days after end of Securities 9 iecurities Brokering Transactlon Report Monthly [email protected] TBs Memorandum No. M-2O1$034 reference month Brokering ;[email protected]. ph RCBs License 15 banking days after end of ;[email protected] UKBs Monthly reference month ;[email protected] TBs Memorandum No, M-2O1&008 10 Financlal Reportlng Package (FRP) - Solo 15 banklng days after end of [email protected] RCBs Quarterly reference quarter [email protected] TCs Memorandum No, M-2O17-027 Financial Reportint Package (FRP) - Consolidated [email protected] UKBs 30 banking days after end of 11 loPP[Ldprc tu Pdrgrtr uorr^l wrrrr JuuJrurqrlr uolriJ o Quarterly Memorandum No. M-2016-008 reference quarter allied undertaklngs excludlng insurance companies) [email protected] TBs ;[email protected] UKBs rJ uarril15 qoyJ \2 Report on Microfinance Products Monthly dctb-micro@ bso.qov.oh l'Bs reference month dcrb-micro@ bsp.gov. ph lCBs Memorandum No. M-2O14-024 sdckb-micro@ bsp.Eov.ph JKBs la 9orrlxrE ualtJ rl 13 ncome Statement on Retall Microflnance Operations Quarterly sdctb-micro@ bsp.gov, ph fBs reference quarter rdcrb-m icro@ bsp,sov,oh RCBs

Annex A Page2 ot 4 Rcoort Title Frcqucncy Dcedllnc Prcrcrlbcd E-mall Addrcss Covcred lnstitutlons Rclevant lssuance [email protected] UKBs 30 banking days after end of 14 Report on Repurchase Agreements (REPO Report) Monthly rdctb-repo@ bsp.gov,ph TBs Memorandum No. M-2017-O21 reference month ldcnbqhrepo@ bso.gov.ph NBQBs I sdckb-pfrs@ bsp.gov,ph UKBs Monthly sdctb-pfrs@ bsp.gov, ph TBs reference month 15 sdcnbff -ofrs@ bso.sov.oh NBQBs early adopter BSFIs) 15 banking days after end of Memorandum No. M-2011-0t8 Quarterfu [email protected] RCBs reference ouarter Supplementary Report on Early Adoption of PFRS 9 - Consolidated 30 banklng days after end of dckb-pfrs@bsp,gov,ph UKBs 16 Quarterly (applicable to early adopter BSFIs) reference ouarter sdctb.pfrs@ bsp.eov.ph IBs Computation of the Risk-Based Capital [email protected] IBs 15 banking days after end of t7 Adequacy Ratlo Covering Combined Credit Market Quarterly reference quarter and Operational Risks {for stand alone TBs and RCBs) - Solo [email protected] RCBs Computation of the Risk-8ased Capital Memoranda Nos. M-2015-014 and [email protected] fBs M-20t4417 Adequacy Ratlo Covering Combined Credit Market 3O banking days after end of 18 Quarterly reference quarter (applicable to parent banks with subsidiary banks and other financial [email protected] RCBs allled undertakings excluding insurance companiesl sdckb'Basel3 CAR@ bsp.gov.ph UKBs 15 banking days after end of sdcb-Basel3CAR@ bso.aov. ph TBs 19 Basel lll Capital Adequacy Report - Solo Quarterly reference quarter sdcrb-Basel3CAR@ bsp.eov.ph RCBs [email protected] NBQB3 Memorandum No. M-2016-O24 Basel lll Capital Adequacy Report - Consolidated (applicable to parent sdckb-Basel3CAR@ bsp.gov. ph UKBs 30 banking days after end of 20 QuarterL reference quarter sdcn bqFBasel3CAR@ bsp,gov,ph NBQBs insurance companies) sdckb-asra@ bsp.gov,ph U(Bs 2t Report on Compliance with the Mandatory Agri Agra Credit (Agri-Agral Quarterly [email protected],ph TBs Memorandum No. M-2O11-064 reference quarter sdcrb-acra @ bsp.eov.ph RCBs [email protected] UKBs 22 Quarterly sdctb-sme@bsp,gov.ph TBs Memorandum No. M-20O8435 RA 6977 (as Amended by RA Nos, 8289 and 95O1XMSME) reference quarter [email protected] RCBs Sircular Letter dated 06 Aug 2fi)3 Report on Credit and Equfi Exposures to Individuals/Companies/ Groups 15 banking days after end of srso-credex@ bsp,gov, ph UKBs, TBs, NBQBs rnd Memorandum No. M-2014- 23 Quarterly Aggregating P1 Million and Above {CREDEX) reference quarter )25 sdctc-credex@ bsp.gov,oh TCs Memorandum No. M-2O17-027 sdckb-fmti@ bsp,gov,ph UKBs ldctb-f rptl@ bsp, gov.ph tBs with Trust 20 banking days after end of 24 Financial Reporting Package for Trust Institutions (FRPTI) Quarterly sdcrb-froti@ bso.sov.oh RCBs Authority reference quarter sdcnbfl -frptl@ bsp.Eov,ph NBQBs rdctc-f rptl@ bsp.gov. ph fCs Memorandum No, M-2O17-027

Annex A Reoort Title FrGquancy Dcadlinc Prescrlbad E-mall Addrcgs Covcred lnstitutbns Rclcvrnt lssurncr ;[email protected] UKBs with Published Balance Sheet / 12 banking days fiom the date [email protected] IBs resources of Memorandum No, M-2014-O26 , Consolidated Balance Sheet lEefore Publicationl For Banks of Call Letter P1 billion 25 Quarterly reports are appllcable to parent banks with subsldiary banks and other ;[email protected],ph RCBs and above fi nanctal allled undeftaklnts excludlng lnsurance companles) lO banklng days from the date ;[email protected] ICs Memorandum No. M-2017-O27 rf Call Letter ;dckb-emoney@ bsp.gov.ph iJKBs with E- Report on Electronic Money Transactions 15 banking days after end of ;[email protected] tBs 26 Quartedy money lapplicable to Electronic Money lssuers) reference quarter ;dcrb-emoney@ bsp,gov.ph lCBs Authority ;dcnbfi -emoney@ bsp.gov.ph NBFIs ;dckFree@bso,sov.oh UKBs l0 banking days after end of Memorandum No, M-2012-O57 27 Expanded Report on Real Estate Exposures - Solo Quarterly ;[email protected] TBs ^eference quarter [email protected] TCs Memorandum No. M-2O17-O27 Expanded Report on Real Estate Exposures - Consolidated ;dckb-ree@bsp,gov,ph UKBs 30 banking days after end of 28 Quarterly Memorandum No, M-2012-O57 reference quarter lllied undertakings excluding insurance companies) [email protected],ph TBs ;[email protected],ph UKBs lO banklng days after end of 29 Report on the Inventory of Banking Network Quarterly ;[email protected] TBs Memorandum No. M-2013-O26 eference quarter ;[email protected],ph RCBs UKBs, TBs and RCBs 3redit Card Business Activity Report 15 banking days after end of 30 Quarterly ;[email protected] wlth Credit Card Memorandum No. M-2016-d)2 lappllcable to Flnancial Instltutions (Fls) with Credit Card Operations) reference quarter Operations ;dckb-bris@ bsp.gov,ph UKBs 31 Report of Selected Branch Accounts Quartedy sdctb-bris@ bsp.gov.ph TBs Memorandum No. M-2014-O35 reference quarter sdcrb-bris@ bso,sov.oh RCBs 15 banklng days from 32 Basel lll Liquldity Coverage Ratio (tCR) Report - Solo Monthlyl/ measurement date [email protected] UKBs Memorandum No, M-2016-O10 30 banking days fiom 33 Basel lll Liquldity Coverage Ratio (tCR) Report - Consolidated Quarterly measurement date 30 banking days after end of UKBs and Subsidiary 34 Report on Cross-Border Financial Positions Quarterly [email protected] Memorandum No, M-2015-021 reference ouarter TBs 30 banking days after end of sdckb-stresstesting@ bsp.gov. ph UKBs 35 Stress Testing Reports Covering Credit and Market Risks Semestral Memorandum No, M-2014-O32 reference semester sdctFstresstestlne@ bso.rov. oh TBs Report on Selected Accounts and Activities for the ldentification of 30 banklng days after end of 36 Semestral [email protected]. ph UKBs Memorandum No. M-2015-(XX Domestic Systemically lmportant Banks reference semester dckb{srerage@ bsp,gov.ph UKBs 15 banking days after end of gdctb{everaee@ bsp,gov,ph TBs 37 Basel lll Leverage Ratio (BLR) Report - Solo Semestral reference semester dcrb{anerage@ bsp.gov.ph RCBs dcn bqb-leverage@ bsp.gov, ph NBQBs Memorandum No. M-2015-O26 Basel lll Lanerage Ratlo (BLR) Report - Consolidated (applicable to parent sdckb-lanerage@ bsp,gov.ph UKBs 30 banking days after end of 38 Semestral reference semester insurance companies) sdcnbq b-leverage@ bsp.gov,ph NBQBs

Annex A Page 4 ot 4 Rcport Titlc Frequency Dcrdlinc Prcscribed E-mail Addrcss Covcrcd lnstttutbm Rclcvent lssuancc idcktsltoroff [email protected] UKBs ( 25 calendar days after end of sdctb-itprofl [email protected],ph TBs Memorandum No, M-2012-011 39 Information Technology (lT) Proftle Report Annual reference year sdcrb-itprofi le@ bsp.gov. ph RCBs sdcc-itorofi le@ bsp.sov.oh TCs Memorandum No. M-2OU{27 [email protected] UKBs [email protected] TBs Memoranda Nos. M-201GO14 and lnitial Report not later than 10 calendar days from knowledge [email protected],ph RCBs M-2016-018 of crime/incident sdcnbqb-rcl@ bsp.gov. ph NBQBs As crime/ [email protected],ph ICs Memorandum No. M-2017-027 40 Report on Crimes and/or Losses (RCL) incident [email protected] UKBs occuni [email protected] tBs Memoranda Nos, M-201&O14 and Complete/Final Report not later than 20 calendar days [email protected] RCBs M-2016-018 from termination of investigation sdcnbqb-rcl@ bsp.gov. ph NBQBs [email protected] fCs Memorandum No. M-2017-027 1/ Monthly reporting beglnning measurement date l January 2018 report pursuant to Clrcular No. 905 dated 10 March 2O16,