SECURITIES AND EXCHANGE COMMISSION

Location: No. 30 3rd Circular Road Cantonments, Accra P. O. Box CT 6181, Cantonments, Accra, Ghana Tel: +233-30-2768970-2 Toll Free No. 080010065 Fax: +233-30-2768984 GhanaPost GPS GL- 076 - 6028 E-mail: info@sec.gov.gh Website: www.sec.gov.gh

"ENSURING INVESTOR PROTECTION"

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OUR REF: SEC/A&RMD/AMLROs WORKSHOP/2/18 6th February, 2018

TO: ALL BROKER DEALERS, INVESTMENT ADVISORS AND FUND MANAGERS

Dear Sir/ Madam,

INVITATION TO A WORKSHOP ON DRAFT SEC/FIC AML/CFT GUIDELINES AND DRAFT AML/CFT ADMINISTRATIVE SANCTIONS

Section 138 of the Securities Industry Act, 2016, (Act 929) empowers the Commission to ensure that all its regulated entities operate in a manner so as to comply with the provisions of Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT).

Following our letter to you to submit comments on the above mentioned documents, we wish to invite you to a Workshop to discuss your comments and subsequently incorporate them into the final documents.

Please, find below the details of the Workshop:

• Date: Tuesday 13th February, 2018
• Venue: Science and Technology Policy Research Institute (STEPRI)
• Time: 9:00am–12noon

Yours faithfully,

Signature
Emmanuel Mensah Appiah
Head- Audit & Risk Management Department For Director General

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Cc:

• Director-General
• Chief Executive Officer- FIC
• Deputy Director-General-Finance
• Head- Legal & Enforcement
• Head of AML/CFT Unit- BOG
• Head of AML/CFT Unit- NIC
• The President- GSIA
• Mrs. E. Mate-Kole- GSE
• Head-Human Resource & Administration

Note: All CMOs are encouraged to send representatives to attend this Workshop so as to comply with AML/CFT legislations.