Invitation to Workshop on Draft SEC/FIC AML/CFT Guidelines and Administrative Sanctions

# 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"

---

**OUR REF: SEC/A&RMD/AMLROs WORKSHOP/2/18**  
**6<sup>th</sup> 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 13<sup>th</sup> 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

---

**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.