Guidelines on the Physical Submission of Pleadings and Case-Related Documents Filed Through the OGC’s Official E-mail During the Covid-19 Pandemic

The Securities and Exchange Commission (“SEC”)  issued a Notice dated 08 March 2022 to adopt and implement Interim Guidelines for the limited manual operations of the Office of the General Counsel (“OGC”) during the period of State of National Emergency due to COVID-19 Pandemic (the “Covered Period”). 

The Interim Guidelines shall cover all services provided by and transactions with the OGC under the 2016 SEC Rules of Procedure and all other relevant rules and regulations during the Covered Period. 

The OGC will continue to implement measures where there are minimal face-to-face transactions in the following services:

1. Receiving of documents (Petition, Memorandum of Appeal, pleadings, orders and decisions from courts or other quasi-judicial agencies, proof of payment, and all other documents);
2. Releasing of certified true copies of records; and
3. Releasing of orders, decisions, resolutions, and legal opinions.

Other than the receiving of documents, the manual operations shall only cater those requests of service that have already been assessed and approved during online processing. 

During the Covered Period, the OGC will resume its limited manual operations from Monday to Friday between 8:00 AM- 5:00 PM in OGC’s Main Office. Considering that Metro Manila is already placed under Alert Level 1, the OGC has resumed 100% of its workforce to be on-site.

The cut-off time for receiving of physical documents shall be at exactly 3:00 PM, while emails received beyond 3:30 PM will be processed on the next business day.

Walk-in and phone-in consultations of legal queries will be temporarily unavailable. Alternatively, the public may present questions or inquiries through email at ogc_picc@sec.gov.ph.

Requests for Certified True Copy (“CTC”) or Plain Copy of Documents Related to Cases 

1. Such requests shall be initiated by sending a Letter Request through email at ogc_picc@sec.gov.ph 
2. Once approved, the Client will receive an email reply with an advice to proceed with payment of the CTC fee. 
3. The Client must notify the OGC through email its intent to proceed with the request so he/she can receive a Payment Assessment Form (“PAF”). Once received, the Client shall then print and use the PAF to pay the assessed amount at the SEC Cashier or via eSPAYSEC. 
4. A copy of the official receipt shall be sent to ogc_picc@sec.gov.ph as proof of payment, while the original will serve as the claim stub in receiving the CTCs. 

Request for Legal Opinion

1. In filing of request for Legal Opinion, a Letter Request shall likewise be sent to ogc_picc@sec.gov.ph for initial assessment. 
2. After the determination that the Letter Request pertains to specific questions of law and complies with SEC Memorandum Circular No. 15 s. 2003, the OGC shall send an email reply to the Client with an advice to proceed with the payment of opinion fee, which costs PHP 10,000.00. Otherwise, the OGC shall inform the Client that the same is not opinionable. 
3. Should the Client wish to proceed with the request, the Client should notify through email to get a PAF and follow the same payment procedure above. 
4. After sending the proof of payment, the Client shall receive an update on the request. 
5. The issuance and release of the opinion shall be on a first-in, first-out basis, and shall depend on the number, difficulty and novelty of the question presented therein. The copy of the official receipt will serve as the claim stub in receiving the original copy of the opinion.

Filing of Petition and Appeal

In filing of the Petition and Appeal, the Client may file its verified petition or appeal by: a) manual filing; b) registered mail or private courier; or c) electronic filing. The following are the corresponding procedures for each mode of filing:

1. Manual Filing
   The Client must fill-out the Request Form provided by the OGC. Six (6) legible copies of the petition or memorandum of appeal with supporting documents shall be sealed in an envelope and shall be left at the designated place provided by the OGC. The Client will  receive a temporary acknowledgment receipt from OGC. The date of filing shall be the date indicated on the official receipt issued to the Client.
   
   
2. Registered Mail or Private Courier
   The postal money order for the payment of filing fee shall likewise be sealed in the envelope containing the same number of copies of the required documents and shall be sent through registered mail or private courier addressed to the OGC. The date of filing shall be the date of the mailing, as shown by the post office stamp on the envelope or the registry receipt or the acknowledgment receipt issued by the private courier company. 
   
   
3. Electronic Filing
   The copy of the petition or appeal with supporting documents may be filed via email to ogc_picc@sec.gov.ph with the subject title: FILING OF APPEAL/PETITION_CASE TITLE. The filer shall ensure that the original and copies of the documents/ pleadings filed shall be physically received by the OGC within five (5) business days from the date of sending/transmittal via email. The filer may send the physical documents/pleadings via manual filing, registered mail or private courier. The filer shall provide an original copy, properly marked as “ORIGINAL”, and five (5) legible copies of the said document/pleading. 
   
   Scanned copies of the printed copies of the documents may be sent in PDF. For documents that have annex/es, a separate scanned file for each annex must be filed by the party using the prescribed file. (Ex. Appeal “A”; Appeal- Annex “B”). The date of filing shall be the date indicated on the official receipt issued to the Client upon payment of the filing fee. 

Within three (3) working days from submission, the OGC shall send a reply through email confirming the completeness of the petition or memorandum of appeal. The OGC shall also advise the Client for the payment of the filing fee in the amount of PHP 3,030.00. The Client should follow the same payment procedure and shall send a copy of the official receipt to ogc_picc@sec.gov.ph so that the OGC can proceed with the docketing and raffling of the petition or memorandum of appeal. The original of the official receipt may also be sent to the OGC via registered mail or private courier.

The Commission may order the submission of additional documents based on the allegations in the petition or memorandum. 

Filing of Responsive Pleadings

A party in any case pending before the OGC or the Commission En Banc may file responsive pleadings through manual filing; registered mail or private courier; and electronic filing. 

For manual filing, the party or its representative, or through its counsel must fill-out the Request Form from OGC. Copy of the responsive pleading shall be sealed in an envelope and shall be left at the designated place provided by the OGC.

For filing through registered mail or private courier, the copy of the responsive pleading shall likewise be sealed in an envelope and may be sent to the OGC. 

For electronic filing, the copy of the responsive pleading may be emailed to ogc_picc@sec.gov.ph with the subject title: CASE NUMBER_CASE TITLE_TYPE OF DOCUMENT. The filer shall ensure that the procedure in sending the original and copies, as well as the file format of scanned copies and their prescribed file names as in mode c) above shall be observed. 

If applicable, proof of service to the operating departments or other parties must be included in the attachments before a party can file the document/s covered under this item. 

Other Pleadings and Documents

The following are the pleadings and documents that should filed through the mode of electronic filing:

1. Reply
2. Motion to Lift CDO
3. Manifestations and Motions
4. Rejoinder
5. Position paper
6. Other pleadings

General Receiving of Documents

For general receiving of documents, if the documents to be received by the OGC do not fall within the transactions specified above, the public may send their letter, document, or any correspondence to ogc_picc@sec.gov.ph.

Alternatively, documents may be sent through registered mail or private courier, subject to sanitation procedures and initial assessment. Within a period of not exceeding three (3) working days from receipt of documents, the OGC shall send a reply to the Client through email confirming the receipt of the documents. The Client shall receive an update regarding the requested services, if any. 

These guidelines shall continue to be in force unless modified or recalled by the SEC.