National Insurance Commission (Anti Money Laundering and Countering the Finance of Terrorism) Regulations, 2013.
The Rule amends the existing Rule on annual subscription fee of each dealing member, supervision and internal control, use of Trading System Access Codes, Confirmation of Orders and Mandates, Notification of Trade in Securities Amounting to 5% of an Issuer’s Total Listed Securities or More, Prohibition of Market Manipulation and… Read more
The Rule amends the existing rule on net Liquid Capital Requirement; Article 15 on Rules and Regulations Governing Dealing Members; Monthly Financial Statements of Accounts to Clients; Proprietary Interest of The Exchange over Dealing Membership Licenses; Anti Money Laundering; and a new Article on Clients’ Complaints Management etc. Read more
This Rule sets out the Exchange’s requirements relating to Depositary Receipts (DRs). The aim of this Rule is to set out the general eligibility, disclosure and continuing obligations requirements that apply to DRs and then set out in subsequent parts specific provisions in relation to sponsored and unsponsored DR issues. Read more
The present practice whereby pension funds are audited independently at different periods with the PFAs and PFCs, has led to incomplete and incomprehensive audit reports of the funds. This practice impinges on balanced regulatory judgment and is of concern to the Commission.
The foregoing have made it imperative for the Commission… Read more
In furtherance of the Commission’s mandate to regulate and develop the Nigerian capital market and in particular, and its duty to ensure the protection of investors in the Capital Market, it has issued out an amendment to the SEC Rules of April 2015. Read more