Guidelines on the Submission of Reports/Documents and Communications through the BSP Financial Supervision Sector (FSS) Mail-In Account

MEMORANDUM NO. M-2021-__ 036 OFFICE OF THE DEPUTY GOVERNOR FINANCIAL SUPERVISION SECTOR To : ALL BSP SUPERVISED FINANCIAL INSTITUTIONS (BSFIs) Subject : Guidelines on the Submission of Reports/Documents and Communications through the BSP Financial Supervision Sector (FSS) Mail-In Account In line with ongoing initiatives of maximizing available information technology infrastructure, all BSFIs shall observe the following guidelines1 on the submission of reports/documents and communications through the FSS Mail-In Account: 1. Effective 05 July 2021, all reports, documents, and communications to the BSP FSS, including general correspondences and other documents shall be transmitted electronically to the email address: [email protected]. 2. BSFIs shall strictly apply the prescribed format for the subject line, as follows: <FSS Unit Acronym><space><BSFI Name><,><space><Subject Matter Description> a. FSS Unit Acronym refers to the acronym of the intended FSS Unit’s recipient of the report, document, and communication based on the attached Annex A. b. BSFI Name refers to the name of the BSP supervised bank/entity sending the email. c. Subject Matter Description shall refer to the general description of the email submission and/or communication (e.g. name of 1 These guidelines shall be adopted for all correspondences and reports usually hand delivered by BSFIs to BSP FSS. This is not applicable for correspondences relating to policies and supervision-related correspondences including applications or reports to be submitted electronically to specific FSS Departments (e.g., Department of Supervisory Analytics, Financial Supervision Department IX, Supervisory Policy and Research Department, Technology Risk and Innovation Supervision Department, and Capital Markets and Trust Supervision Department). Further, these guidelines supersede Memorandum No. 2020-007 dated 13 March 2020 on the submission of reports/documents and communications to BSP FSS.

report/document being submitted). Reference period, if any, shall be indicated in this date format: dd<space>mmm<space>yyyy. For example: FSD1 ABC Bank, Reply to Report of Examination ending 30 Apr 2021 3. The BSFIs, through its Compliance Officers, are expected to ensure that the reports/correspondences to FSS are submitted to proper communication channels (i.e., specific FSS Department/Office email addresses or via the FSS mail-in account). 4. Failure to use the prescribed subject line format will result in the failure of delivery of the email to the intended recipient. For reports, it may be considered non-compliance with the BSP reporting standards and may be subject to applicable sanctions under existing BSP regulations. 5. Non-receipt of an acknowledgement email from the [email protected] account on the BSFI's email within the day shall mean failure of delivery of the message. 6. The auto-generated reply/notice from the [email protected] account shall be considered as duly received by the BSFI absent notification from the BSP system of the failure of delivery. For strict compliance. Digitally signed by Chuchi G. Fonacier Date: 2021.06.28 07:08:30 +08'00' CHUCHI G. FONACIER Deputy Governor Att: a/s 28 June 2021 ____

Annex A FINANCIAL SUPERVISON SECTOR (FSS) LIST OF FSS UNIT ACRONYM FSS UNIT ACRONYM Capital Markets and Trust Supervision Department1 CATSD Credit Reporting System Unit CRSU Department of Supervisory Analytics2 DSA Financial Supervision Department I FSD1 Financial Supervision Department II FSD2 Financial Supervision Department III FSD3 Financial Supervision Department IV FSD4 Financial Supervision Department V FSD5 Financial Supervision Department VI FSD6 Financial Supervision Department VII FSD7 Financial Supervision Department VIII FSD8 Financial Supervision Department IX FSD9 Financial Supervision Sub-Sector I FSSS1 Financial Supervision Sub-Sector II FSSS2 Financial Supervision Sub-Sector III FSSS3 Financial System Integrity Department3 FSID FSS Operations Support Department4 FOSD Islamic Banking Supervision Group IBSG Policy and Specialized Supervision Sub-Sector PSSSS Supervisory Policy and Research Department5 SPRD Technology Risk and Innovation Supervision Department6 TRISD 1 - Formerly Treasury and Asset Management Supervision Department 2 - Formerly Supervisory Data Center 3 - Formerly Anti-Money Laundering Specialist Group 4 - Formerly Sectoral Operations Management Department, FSS 5 - Formerly Office of Supervisory Policy Development 6 - Formerly Core Information Technology Specialist Group