Regulatory Alerts2008-01-01
SEC Ghana Compliance Manual for Broker-Dealers, Investment Advisers & Representatives
The Securities & Exchange Commission of Ghana issued this Compliance Manual to establish comprehensive regulatory obligations and operational standards for licensed broker-dealers, investment advisers, and their representatives. It mandates specific capitalization thresholds, client custody protocols, trading procedures, and internal control frameworks to safeguard assets and manage financial risk. Furthermore, the document requires designated compliance officers to implement supervisory systems, maintain accurate accounting records, and adhere to strict disclosure and conduct standards to ensure market integrity.
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