2016-09-14

Added 2026-06-03 · Updated 2026-09-25

Securities Industry Act, 2016, Act 929

The Securities Industry Act, 2016 (Act 929) establishes the Securities and Exchange Commission as a body corporate to regulate and promote the securities market in Ghana. The Act defines the Commission's functions, including the licensing and regulation of entities such as securities exchanges, fund managers, broker-dealers, and investment advisers. It outlines the composition, tenure, and administrative powers of the Commission's Board and Director-General, while also imposing levies on market operators and establishing a fidelity fund to protect investors.

Ghana

Securities and Exchange Commission Ghana

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SECURITIES INDUSTRY ACT, 2016 Act 929

ARRANGEMENT OF SECTIONS

Section

PART ONE—SECURITIES AND EXCHANGE COMMISSION

Establishment

1. Establishment of the Commission
2. Object of the Commission
3. Functions of the Commission
4. Governing body of the Commission
5. Tenure of office
6. Meetings of the Board
7. Disclosure of interest
8. Establishment of committees
9. Allowances

Administration

10. Ministerial directives
11. Appointment of Director-General
12. Appointment of Deputy Directors-General
13. Appointment of other staff

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Lineage: Amended

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Show all related documents (165)

Amended by

Securities Industry (Amendment) Act, 20212021

Basis for

Guidelines for Investment in Unlisted Securities 20262026SECURITIES INDUSTRY (REGISTRAR) GUIDELINES 20262026Draft Securities Industry (Securities Lending and Borrowing and Short Selling) Guidelines 20262026Securities Industry (Sukuk Issuance) Guidelines 20262026Securities Industry (Electronic Communications, Recordkeeping And Off-Channel Communications For The Securities Market) Guidelines, 20262026PUBLIC NOTICE: FULL LIST OF VIRTUAL ASSET SANDBOX PARTICIPANTS2026

+150 more

2025 Annual Report & Financial Statements2026PUBLIC NOTICE: LIST OF ENTITIES OPERATING WITHOUT A LICENSE2026Warning Against Yepbit Exchange and Bonchat Platforms - Suspected Fraudulent Investment Schemes2026Directive to Market Operators, Fintech Service Providers, and Persons Owning and/or Operating Online Investment and Trading Platforms2026Call for Feedback on the Draft Securities Industry (Insider Trading) Guidelines, 20262026Call for Feedback on the Final Draft Guidelines for Legal Practitioners/Lawyers Providing Professional Services in the Capital Market2026Directive To All Capital Market Operators On Compliance With The Requirements Of The Data Protection Act, 2012 (Act 843)2026Public Notice on Official Securities and Exchange Commission Communications2026SEC Ghana Announces Virtual Asset Sandbox Participants2026Securities Industry (Regulatory Sandbox Licensing) Guidelines 20262026Guidelines on Market Levies for 20262026Warning Against Unlicensed Investment Scheme by Mekanism Marketing Ltd2026Directive to Market Operators on Investments in Foreign Securities for Collective Investment Schemes2026Securities and Exchange Commission Virtual Asset Sandbox Notice2026Passage of the Virtual Asset Service Providers Bill2025Warning Against Unauthorised Advertisements on Fraudulent Investment Schemes2025Securities and Exchange Commission, Ghana 2024 Annual Report2025Securities Industry (Dealing In Government Of Ghana Securities) Guidelines 20252025Securities and Exchange Commission of Ghana Second Quarter 2025 Newsletter2025Securities Industry (Underwriter) Guidelines 20252025Securities Industry (Financial Resources) Guidelines 20252025Investment Scam Alert: Rise of Fraudulent Investment Schemes in Ghana2025List of Entities Operating Without a License2025Guidelines on Market Levies for 20252025Directive on Electronic Submission of Directors and Principal Officers' Personal Notes (E-DPN)2025Directive on Submission of Electronic Directors and Principal Officer Personal Notes (e-DPN) via the Regulatory Compliance Portal2025Release of GHS 1.5 Billion to Investors Affected by the 2019 Fund Management License Revocation2024Deadline for Submission of Claims for Partial and Full Bailout2024Ghana SEC and UNCDF Launch Crowdfunding Guidelines to Crowd-In Investments and Boost Entrepreneurial Growth2024Circular on the Revised Fees and Charges of the SEC2024Revised Fees and Charges of the Securities and Exchange Commission, Ghana (Circular No. SEC/CIRC/001/03/2024)2024Guidelines for Issuing Instruments Under Section 209 of the Securities Industry Act 2016 (Act 929) as Amended2024Directive on the Use of the Ghana Card as the Only Identity Card for Securities Market Transactions2024Directive on the Use of the Ghana Card as the Sole Identity Document for Securities Market Transactions2024SEC Update on Bailout Program for Blackshield Fund Management Clients2024Green Bonds Guidelines 20242024SEC/FIC AML/CFT/CPF Guidelines for Market Operators in Ghana (2023)2023SEC Ghana Pays Respects to Ga State in Courtesy Visit2023Simulation Exercise at the Securities and Exchange Commission2023SEC Directive on Discontinuation of Dividend Warrants for Securities Market Payments2023Update on Implementation of Bailout Program for Clients of Blackshield Fund Management Ltd (Formerly Gold Coast)2023Guidelines on Market Levies for 20232023Public Notice on New Securities Industry Guidelines 20222023Public Notice on Capital Market Operations by Zenith Bank Ghana Limited2023Public Notice on Voluntary Cessation of Trustee Services by Zenith Bank Ghana Limited2023Public Notice on Further Extension of Moratorium on Fund Management Licences2022Regulatory Support to Mitigate Impact of Government’s Domestic Debt Exchange Programme2022Securities Industry (Issuing House) Guidelines 20222022Securities Industry (Note Trustees) Guidelines 20222022Securities Industry (Over-The-Counter Market) Guidelines 20222022Directive on Mark-to-Market Valuation of Client Investment Assets and Portfolios in the Securities Sector2022Ghana SEC Public Notice on Mark-to-Market Valuation for Investment Assets and Portfolios2022SEC Ghana Becomes Full Signatory to IOSCO Multilateral Memorandum of Understanding on Consultation, Cooperation, and Information Exchange2022Ghana and Nigeria Securities Markets Delegation Pays Courtesy Call on Vice President2022List of Entities Operating Without a License2022Circular on Developing, Maintaining, and Testing Business Continuity Plans for Market Operators2022Circular to Market Operators on Advertising Provisions in the Securities Industry2022Directive on the Use of the Ghana Card as the Only Identity Card for Securities Market Transactions2022Circular to Market Operators on Compliance with Securities Industry Advertisement Provisions2022Public Notice on Court Case Regarding SEC Guidelines on Capital Market Services by Auditors and Reporting Accountants2022Circular to All Market Operators Regarding Revenue Collections Account2022SEC Ghana to Host Second Edition of the Biennial West African Capital Market Conference (WACMaC) on 24 May 20222022Public Notice on Electronic Transfer Levy (E-Levy) Implementation2022Ghana Securities Industry (Crowdfunding) Guidelines 20222022Circular to Market Operators on the Submission of Licence Renewal Applications2022Further Extension of Moratorium on Fund Management Licences2022Public Interest Warning to the General Public on Tizaa Ghana Fund2022Temporary Office Closure Due to Fumigation Exercise2021Securities Industry (Credit Rating Agencies) Guidelines 20212021SEC Rolls Out Regional Education Campaign Dubbed ‘Time With The SEC’2021Public Notice on Audit of Annual Financial Statements of Issuers of Public Securities and SEC Licensed Firms2021Inauguration of the Securities and Exchange Commission Board2021Investment Guidelines for Fund Managers2021SEC Reintroduces Compliance Forum for Stakeholders2021Draft Credit Rating Agencies Guidelines2021Update on Bailout Implementation Programme2021Public Notice on Voluntary Cessation of Capital Market Activity by Parkstone Capital Limited2021Extension of Moratorium on Fund Management Licences2021Public Interest Warning to Investors Regarding Wiseling Online Investment Company2021Public Interest Warning on Electronic Commerce and Trading Scheme2021Directive on Adoption and Implementation of Minimum Standardized Know Your Client Forms for Capital Market Operators2021Partial Cash Bailout Processes Begin Pending the Outcome of Liquidation Petitions2020Government Authorizes Partial Bailout for Remaining Customers of Revoked Fund Management Companies Pending Liquidation Petitions2020Securities Industry (Nominee) Guidelines 20202020Directive to Fund Managers on Interconnectedness Reporting2020Public Interest Warning on PBAY Ltd2020SEC Sets New Capital Requirements for Market Operators2020Licensing Requirements for Market Operators2020Corporate Governance Code for Listed Companies 20202020SEC Issues a Code and Three Guidelines for the Market2020Securities Industry Conduct of Business Guidelines 20202020Update on SEC License Revocations and Investor Bailout2020Public Notice on GISI Qualifications and Revised Securities Courses2020Directive on Trust Accounts by Capital Market Operators2020Circular to All Anti-Money Laundering Reporting Officers of Capital Market Operators2020Update on Revocation of Licences of Fund Management Companies: Appeals Against Revocations2020Circular to Auditors of Capital Market Operators2020Guidelines on Holding of Electronic or Virtual Annual General Meetings by Issuers and Other Capital Market Operators2020Update on Appointment of Fund Managers for 18 Collective Investment Schemes2020Directive on Payments to the Securities and Exchange Commission, Ghana2020SEC Notice on Restriction on Movement of Persons for Capital Market Operators2020SEC Notice on Submission of 2019 Audited Annual Financial Statements2020SEC Circular on Coronavirus (COVID-19)2020Guidelines on Market Levies for 20202020Update on Claims Process for Investors of 53 Fund Management Companies with Revoked Licences2020Circular on Appointment of Fund Managers for 18 Collective Investment Schemes2020CIRCULAR APPOINTMENT OF FUND MANAGERS FOR 18 COLLECTIVE INVESTMENT SCHEMES2020Guidelines on Auditors of Public Companies and SEC Licensees2020Public Notice on Extension of Deadline for Submission of Investment Claims with Fund Management Companies Whose Licences Have Been Revoked2019Public Notice on Deadline for Submission of Investment Claims with Revoked Fund Management Companies2019Public Notice on Mutual Funds and Unit Trusts Managed by Fund Management Companies Whose Licences Have Been Revoked2019Public Notice on Validation of Investment Claims Against 53 Revoked Fund Management Companies2019FAQs on SEC Revocation of FM Licences2019Notice of Revocation of Licences of 53 Fund Management Companies by the Securities and Exchange Commission of Ghana2019Market Guidance Note – New Funds Undermanagement Reporting Format2019Public Notice on Blackshield Capital Management Unlicensed Product2019PUBLIC NOTICE ON MORATORIUM ON FUND MANAGEMENT LICENCES2019Securities and Exchange Commission (Amendment) Regulations, 20192019SEC Ghana Public Notice in Response to Kevin Taylor2019Public Notice on Unlicensed Investment Product by Golden Empire Legacy Limited and Loom2019SEC Ghana Clarifies Rumors on Imminent Closure of Capital Market Operators2019Public Notice by the SEC in Respect of Companies Whose Licences Have Been Revoked2019Public Notice on Gold Coast Fund Management Limited2019Guidelines on REITs, Warehouse Receipts and Commodity Exchanges2019Guidelines on Commodity Exchanges 20192019Warehouse Receipts Guidelines 20192019Public Warning on Investment and Trading in Cryptocurrencies and Their Digital Platforms2019Public Notice on Asset Management Companies2019Guidelines on Market Levies for 20192019Voluntary Cessation of Business Publication by the Securities and Exchange Commission2019Directive on Pending Cases2018Public Notice on Financial Investment Schemes and Products by Unlicensed Entities2018SEC Reforms for the Fund Management Industry2018Draft Securities Industry (REITs) Regulations 20172018SEC Public Notice Regarding Fund Managers Under Investigation2018Draft Guidelines on Financial Resources and Corporate Governance Code for Listed Companies2018Guidelines on Market Levies for 20182018Public Notice on Purported Takeover of ADB Limited by Unibank2018Public Notice on Advertisements for the Protection of Consumers of Financial Services2018Public Notice On Ghana Mutual Aid, Susu Cash Ghana, Earnit Ghana, Afrigram & Payday Ghana2018Invitation to Workshop on Draft SEC/FIC AML/CFT Guidelines and Administrative Sanctions2018Mandatory Disclosure Items for Public Companies2018Public Notice on Menzgold2017Amendment of Guidelines on Market Levies2017Directive to Securities Exchanges and Depositories on Changes to Market Infrastructure2017Guidelines on Market Levies for 20172017Guidelines on Reporting Accountants 2020Securities Industry (Registration of Securities) Guidelines 2022Securities Industry (REITS) Guidelines 2019Securities Industry (Self-Regulatory Organizations) Guidelines 2022

Referred to by

Recruitment of a Consulting Firm to Develop a Risk-Based Supervisory and Regulatory Framework for the SEC, Ghana2022African Development Bank Group Supports Risk-based Supervision for Capital Markets2021IFC and Ghana’s Securities Exchange Commission to Develop Green Bonds Market2021SEC Update on Fund Management Company Revocations and Government Bailout2020Request for Expression of Interest (EOI) (Consulting Services-Firm Selection)2020Speech by Rev. Daniel Ogbarmey Tetteh, Director-General of the SEC, at the ICAG Second Induction Ceremony2019

+2 more

2018 Capital Market Week Remarks on Corporate Governance and Market Transformation2018SEC Organises Compliance and Anti-Money Laundering Officers’ Forum2017

Timeline

Amended 1 time · last 2021-01-19

• 2021-01-19SECSecurities Industry (Amendment) Act, 2021amends

Source: Securities and Exchange Commission Ghana — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works