Regulatory Alerts2013-01-01
Securities and Exchange Commission Nigeria Rules and Regulations, 2013
This document outlines the comprehensive rules and regulations governing the capital market in Nigeria, established by the Securities and Exchange Commission under the Investments and Securities Act of 2007. It defines the registration, compliance, and operational requirements for various market operators, including brokers, dealers, issuing houses, registrars, and trustees, while providing a structured framework for public offers, mergers, takeovers, and collective investment schemes. Additionally, it sets forth critical administrative procedures, codes of conduct, and anti-money laundering/combating the financing of terrorism (AML/CFT) guidelines to ensure market integrity, investor protection, and standard compliance across the sector.
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