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Check-lists and Guidelines

Nature/Types of Applications
Regulatory Filing Calendar for Public Companies
Requirements/Conditions for Processing Products and Services for the Registration of IPOs (CIS, REIT, ETF), PE/VC, Infrastructure and Specialized Funds
Requirements for Filing of Returns by Capital Market Operators (CMOs)
Minimum Capital Requirements for Capital Market Operators
Guidelines on New Minimum Capital Base for Capital Market Operators
Guidelines for Registration as a Capital Market Operator (CMO)
Guidelines for Mergers and Acquisitions
Guidelines for Registration of Securities
Explanatory Notes on New Money Laundering (P) Act 2004 Reporting

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Check-lists and Guidelines

Mergers and Acquisitions
Requirements for Registration as Fund/Portfolio Manager
Registration for Requirements as Commodities Exchange
Requirements for Registration as Venture Capital Managers
Requirements for Registration as Securities Exchange
Requirements for Registration as Sub-Broker
Requirements for Registration as Registrar
Requirements for Registration as FMDQ OTC Dealers
Requirements for Registration as Securities Clearing and Settlement Company
Requirements for Registration as a Receiving Banker
Requirements for Registration as a Self Regulatory Organization/Trade Association
Requirements for Registration as a Rating Agency
REGISTRATION REQUIREMENT AS TRUSTEES
REQUIREMENT FOR REGISTRATION AS CORPORATE INVESTMENT ADVISER
Requirements for Registration as Issuing House

LATEST NEWS

Circular on the Activities of Binance Nigeria Limited
Notification For The 2023 Capital Market Committee 2nd Webinar Meeting
Exposure of Proposed Amendment to Rule 3 – Filing of materials with the Commission
Official Disclaimer On Fake SEC Websites
Notice of Acceptance of Applications for the Regulatory Incubation (RI) Program
Blacklisting Of Six (6) Unregulated Online Trading Platforms

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CONTACT US

SEC TOWERS,
Plot 272, Samuel Adesujo Ademulegun Street, Central Business District
P.M.B:315, Garki, Abuja
+234 (0) 94621100; +234 (0) 94621168

Email: sec@sec.gov.ng

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