National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Bangko Sentral ng Pilipinas
Global JurisdictionSource / Native Reference: 菲律宾中央银行
- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 13
- Active / regulated
- 13
Statutory Supervisory Mandate & Scope
Bangko Sentral ng Pilipinas (Bangko Sentral ng Pilipinas) authorises and supervises securities broker-dealers, derivatives intermediaries, asset managers, collective investment schemes, and market infrastructure in Global Jurisdiction.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Global Jurisdiction, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (Bangko Sentral ng Pilipinas)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by Bangko Sentral ng Pilipinas in Global Jurisdiction.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under Bangko Sentral ng Pilipinas.
National Investor Protection / Compensation Scheme (Global Jurisdiction)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
Bangko Sentral ng Pilipinas Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
Bangko Sentral ng Pilipinas Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Global Jurisdiction
- Bangko Sentral ng Pilipinas Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Global Jurisdiction)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to Bangko Sentral ng PilipinasAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Operates under Global Jurisdiction national jurisdiction and IOSCO MMoU cross-border supervisory cooperation.
Supervised institutions & Bangko Sentral ng Pilipinas licence records in our database
13 licence records referencing Bangko Sentral ng Pilipinas (13 regulated/registered).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| Banco de Oro(Global network record) | Not supplied | Regulated | BDO Unibank, Inc. | — | |
| Banco Nacional ng Pilipinas(Global network record) | Not supplied | Regulated | Bank of the Philippine Islands | — | |
| Chinabank(Global network record) | Not supplied | Regulated | Chinabank | — | |
| Citibank Philippines(Global network record) | Not supplied | Regulated | Citibank Philippines | — | |
| Development Bank of the Philippines(Global network record) | Not supplied | Regulated | Development Bank of the Philippines | — | |
| EastWest Bank(Global network record) | Not supplied | Regulated | EastWest Bank | — | |
| Land Bank of the Philippines(Global network record) | Not supplied | Regulated | Land Bank of the Philippines | — | |
| Philippine National Bank(Global network record) | Not supplied | Regulated | Philippine National Bank | — | |
| PSBank(Global network record) | Not supplied | Regulated | PSBank | — | |
| Security Bank(Global network record) | Not supplied | Regulated | Security Bank | — | |
| Union Bank(Global network record) | Not supplied | Regulated | Union Bank of the Philippines | — | |
| UnionBank (Philippines)(Global network record) | Not supplied | Regulated | UnionBank (Philippines) | — | |
| UnionDigital Bank(Global network record) | Not supplied | Regulated | UnionDigital Bank | — |
Bangko Sentral ng Pilipinas (Global Jurisdiction): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under Bangko Sentral ng Pilipinas (Global Jurisdiction)?
Bangko Sentral ng Pilipinas (Bangko Sentral ng Pilipinas) supervises financial institutions in Global Jurisdiction under Securities and Capital Markets Act of Global Jurisdiction and Bangko Sentral ng Pilipinas Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does Bangko Sentral ng Pilipinas provide statutory investor compensation and mandatory client asset segregation?
Under Bangko Sentral ng Pilipinas's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Global Jurisdiction) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with Bangko Sentral ng Pilipinas Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does Bangko Sentral ng Pilipinas regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
Bangko Sentral ng Pilipinas's digital-asset regime is structured around Bangko Sentral ng Pilipinas Digital Asset / Tokenized Securities & VASP Regulatory Framework (Regulates security tokens, crypto derivatives, and licensed digital asset intermediaries in Global Jurisdiction.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's Bangko Sentral ng Pilipinas licence number and check our 13 recorded licence entries?
Our database currently tracks 13 licence records referencing Bangko Sentral ng Pilipinas (13 marked regulated or registered). To verify a counterparty at the primary source, open Bangko Sentral ng Pilipinas's official public register, search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
Related regulatory & market structure briefings
Research and compliance analysis from World Firm Ledger relevant to Bangko Sentral ng Pilipinas and Global Jurisdiction.
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Statutory licensing classes, base capital rules, and investor protection summaries for Bangko Sentral ng Pilipinas (Global Jurisdiction) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on Bangko Sentral ng Pilipinas’s official public register.