The Corporate and Regulatory Compliance Unit provides comprehensive, end-to-end legal support to corporations, individuals, investors, entrepreneurs, and institutions operating within and even those outside the Philippines. We specialize in ensuring that businesses remain fully compliant with Philippine laws and regulatory requirements while enabling them to operate efficiently, strategically, and with reduced risk exposure. Our services cover the entire corporate lifecycle — from incorporation and registration to restructuring, compliance management, transactions, andadvisory, including dissolution. 

‍Our Commitment 

‍The Corporate and Regulatory Compliance Unit is committed to delivering precise, timely, and strategic legal solutions. We combine technical legal expertise with a deep understanding of regulatory processes in the Philippines. Our goal is to provide clients with clarity,compliance confidence, and long-term operational stability. 

‍1. Securities and Exchange Commission (SEC) Engagements 

We handle a full spectrum of SEC-related transactions and compliance requirements, including:
· Company Incorporation (stock and non-stock corporations, partnerships, OPCs)
·  Drafting and filing of Articles of Incorporation and By-Laws
· Amendments to Articles of Incorporation and/or By-Laws Increase or decrease of Authorized Capital Stock
· Changes in corporate name, primary purpose, or corporate term
· Election and updating of directors, trustees, and officers
· Business Closure, Dissolution, and Liquidation
· Compliance with reportorial requirements (GIS, AFS, etc.)
· SEC Opinions and regulatory clarifications 

Our team ensures accurate documentation, regulatory alignment, and efficient processing to minimize delays and compliance risks. 

‍2. Corporate Compliance Diagnostics and Regulatory Audit 

We conduct comprehensive compliance diagnostics to assess a company’s adherence toPhilippine regulatory requirements. 

Our review covers compliance with:
· Securities and Exchange Commission (SEC)
· Bureau of Internal Revenue (BIR)
· Local Government Units (LGUs)
· Anti-Money Laundering Council (AMLC)
· Philippine Economic Zone Authority (PEZA), when applicable
· Other industry-specific regulatory bodies 

We provide:
· A structured compliance gap assessment
‍· Identification of deficiencies and risk areas
· A corrective action plan
‍· Ongoing compliance monitoring recommendations 

This service is particularly valuable for companies preparing for investment,acquisition, restructuring, or regulatory scrutiny. 

‍3. Subscription and Transfer of Shares 

We assist corporations, shareholders, and investors in properly documenting andregistering equity transactions, including:
‍· Subscription agreements
· Deeds of assignment or transfer of shares
· Issuance of stock certificates
· Updating of Stock and Transfer Books
· Payment and processing of Documentary Stamp Taxes (DST)
· BIR clearance and tax compliance
· SEC reporting, when required 

We ensure that share transactions are legally enforceable, tax-compliant, andproperly recorded in corporate books. 

‍4. Corporate Secretarial Services 

Weprovide full corporate secretarial support to ensure ongoing corporate governance compliance, including:
· Acting as Corporate Secretary or Assistant Corporate Secretary
‍· Preparation of Board and Stockholders’ Resolutions
‍· Drafting of Secretary’s Certificates
· Preparation of Minutes of Meetings
· Maintenance of statutory corporate books
‍· Monitoring of reportorial deadlines
‍· Corporate housekeeping and governance support 

Our secretarial services ensure that corporate actions are properly authorized, documented, and compliant with the Revised Corporation Code and other relevant regulations.
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5. Government Registrations and Regulatory Licensing 

We handle registrations and compliance filings with mandated government agencies, including:
‍· Securities and Exchange Commission (SEC)
· Bureau of Internal Revenue (BIR)
· Local Government Units (Business Permits and Licenses)
· Anti-Money Laundering Council (AMLC), when required
· Philippine Economic Zone Authority (PEZA)
‍· Social agencies such as SSS, PhilHealth, and Pag-IBIG
· Other specialized regulatory bodies depending on industry 

We manage the process from documentation preparation to final issuance of certificates and permits, ensuring a smooth and compliant market entry. 

‍6. Due Diligence and Background Investigation 

Weconduct legal due diligence for:
· Property acquisitions
‍· Corporate acquisitions or investments
· Background checks on corporations and key stakeholders 

Our due diligence process includes:
· Title verification and lien/encumbrance checks
‍· Corporate records examination
· Regulatory compliance review
· Litigation and risk exposure assessment
‍· Verification of tax and permit compliance 

We provide clients with clear risk assessments and actionable recommendations to support informed decision-making. 

‍7. Drafting and Review of Contracts and Corporate Documents 

We prepare, review, and negotiate a wide range of legal documents, including:
‍· Commercial contracts
‍· Shareholders’ agreements
‍· Joint venture   agreements
· Employment contracts
‍· Service agreements
· Lease agreements
‍· Corporate policies and internal manuals
· Data privacy and compliance documents 

Our approach ensures clarity, enforceability, regulatory compliance, and risk mitigation tailored to each client’s business objectives. 

8. Estate Settlement (Judicial and Extrajudicial)

We assist heirs and families inthe lawful settlement and transfer of estate assets, including:
‍· Drafting of Extra-Judicial Settlement Agreements
‍· Judicial Settlement proceedings
· Estate tax compliance and BIR processing
· Transfer of titles and corporate shares
‍· Coordination with government agencies for proper registration 

We ensure that estate settlements are handled efficiently, legally, and with careful attention to tax and documentary requirements.

‍9.Corporate Advisory Services 

We provide strategic legal guidance to corporations on:
· Corporate structuring and restructuring
· Capital raising and investor entry
· Regulatory compliance strategies
· Risk management
‍· Corporate governance improvements
· Transaction structuring for tax efficiency (within legal bounds) 

Our advisory services are designed to align legal compliance with business growth and long-term sustainability. 

10. Human Resource and Labor Advisory Services 

We assist corporations in navigating Philippine labor and employment regulations, including: 
· Draftingand review of employment contracts
· Preparationof employee handbooks and company policies
· Compliance with DOLE and labor standards
· Employee disciplinary procedures
· Termination documentation and risk assessment
· Labor dispute preventive advisory 

We help companies maintain legally compliant HR frameworks while minimizing exposure to labor-related risks.