Directive on Payments to the Securities and Exchange Commission, Ghana

‘Ensuring Investor Protection’ THE SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission (hereinafter referred to as “SEC”) is the statutory body mandated by the Securities Industry Act 2016 (Act 929) to promote the orderly growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected. In an effort to digitize and streamline its operations, with effect from Wednesday 8th April 2020, all payments, including licensing, renewals, operator levies and all other payments should be made directly into the Commission’s bank account detailed below: Bank Name: Ecobank Ghana Limited. Account Name: Securities and Exchange Commission Account Number: 1441000144748 Bank Branch: Head Office Market Operators are to send the payment advice to financecapital@sec.gov.gh and copy their relevant departments per the table below: Market Operator Email Fund Managers, Mutual Funds, Unit Trusts, Custodians, Trustees funds@sec.gov.gh Broker-Dealers, Investment Advisers, Primary Dealers brokerdealers@sec.gov.gh Securities Exchanges, Depositories, Registrars exmarkets@sec.gov.gh Securities issuers, Issuing Houses, Reporting Accountants and Auditors issuers@sec.gov.gh AML auditrisk@sec.gov.gh This Directive is issued pursuant to sections 3, 14, 15 and 209 of the Securities Industry Act, 2016 (Act 929) BY ORDER OF SECURITIES AND EXCHANGE COMMISSION. DATED THE 8th APRIL, 2020 DIRECTIVE ON PAYMENTS TO THE SECURITIES AND EXCHANGE COMMISSION, GHANA (NOTICE NO. SEC/DIR/001/04/2020) (NOTICE NO. SEC/PN/010/10/2019) (NOTICE NO. SEC/PN/010/10/2019) NOTICE NO. SEC/PN/000/01/2020