Exposure Of Sundry Amendments To The Rules And Regulations Of The Commission

Sundry Amendments 

1. Proposed Amendment of Rule 67- Rules on Sub-broker 

2. Proposed Amendment to Rule 70: Records of Transactions with Clients 

3. Proposed Amendment: creation of a new Rule 76 –Risk Management 

 

Download full document —-> SEC Rules for Exposure (Nov 2019) 2nd batch (WEB Version)


All comments and input should be forwarded by e-mail to the Secretariat, Rules Committee of the Commission, at rulescommittee@sec.gov.ng or by letter addressed to the Director-General, SEC, not later than two (2) weeks from date of publication.