Anti-Money Laundering Council (AMLC) Guidelines on the Submission of the Quarterly DIGICUR Status Report of Compliance (QUADSREC)

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ANNEX A QUARTERLY DIGICUR STATUS REPORT (QUADSREC) Name of the Covered Person __ Quarter, 202_ Target Completion Date Obligations under the % of Completion as of Ongoing Issues DIGICUR Completion Measures (must be on or before DIGICUR _________ 30 September 2022) Updating of the Money · · Revision of the MTPP to Laundering/Terrorism incorporate the requirements Financing Prevention Program under the DIGICUR (MTPP) · Approval of the updated MTPP by the Board of Directors/ Senior Management (for partnerships, sole corporations or sole proprietorships) Development of a central · Indicate details and amount of database of customer records investment in the following: · Capital Expenditures; · IT equipment; · System upgrades; · Training; and · Other measures. Digitization of existing · Number of digitized Indicate details and amount of customer accounts prior to existing customer investment in the following: the effectivity of the DIGICUR accounts prior to the · Capital Expenditures; effectivity of the · IT equipment; DIGICUR/total · System upgrades; number of existing

ANNEX A customer accounts · Training; and prior to the effectivity · Other measures. of the DIGICUR = % Digitization of new accounts · Number of digitized Indicate details and amount of opened after the effectivity of new customer investment in the following: the DIGICUR accounts opened after · Capital Expenditures; the effectivity of the · IT equipment; DIGICUR/total · System upgrades; number of new · Training; and customer accounts · Other measures. opened after the effectivity of the DIGICUR = % Certified correct: Attested bv: ___________________________ _______________________ Chief Compliance Officer President/CEO

Annex B Step-by-step procedures of uploading the QUADSREC Form in the QUADSREC upload facility of the AMLC Portal: 1. Covered Persons must follow the specific file naming convention for their QUADSREC PDF file. [Institution code_QUADSREC_Upload Date (YYYYMMDD)] Institution Code: · For CPs with 11-digit Institution Code, they must enter the 1st 6-digits of their Institution Code · For CPs with 18-digit Institution Code, they must enter the 1st 9-digits of the Institution Code Example: o (123456_QUADSREC_20211031) o (123456789_QUADSREC_20211031) 2. Log-on to https://portal.amlc.gov.ph 3. Enter the 1st 6-digits of the Inst. Code for CPs with 11-digit Inst. Code or the 1st 9-digits of the Inst. Code for CPs with 18-digit Inst. Code 4. Enter the Username or Registered email address 5. Enter password 6. Click LOGIN

Annex B A successful log-in will show the Covered Persons’ User Main Page. 7. Kindly click on QUADSREC Upload Facility 8. Select QUADSREC as Document Type

Annex B 9. Enter the Mandatory Information: (AMLC Regulatory Issuance no.: 6, Year: 2021) 10. Click the “choose file” button and upload the signed QUADSREC PDF file, then click the “Upload” button. 11. A Confirmation Receipt will be generated after uploading QUADSREC.

Annex C Step-by-step procedures in accomplishing the Electronic QUADSREC Form in the Advisory Page in the AMLC Portal: 1. Log-on to https://portal.amlc.gov.ph 2. Enter the 1st 6-digits of the Inst. Code for CPs with 11-digit Inst. Code or the 1st 9-digits of the Inst. Code for CPs with 18-digit Inst. Code 3. Enter the Username or Registered email address 4. Enter password 5. Click LOGIN 6. Click on Advisory, to be able to access the form hyperlink: QUADSREC Form

Annex C 7. Click on the advisory entitled “Electronic QUADSREC Form” 8. Click on the “Electronic QUADSREC Form” Hyperlink