Regulatory Alerts2017-06-20
SEC Organises Compliance and Anti-Money Laundering Officers’ Forum
The Securities and Exchange Commission (SEC) organized its biannual Compliance and Anti-Money Laundering Officers’ Forum on April 25, 2017, in Accra to address mutual concerns and enhance capital market development. Deputy Director-General Mr. Yirenkyi Boafo emphasized that compliance officers must assume a strategic role beyond mere regulatory ticking, as highlighted by recent PwC and EY reports. Under the new Securities Industries Act, 2016 (Act 929), officers are mandated to master the Act, monitor new SEC guidelines, and identify opportunities to advise their management accordingly.
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