Regulatory Alerts2018-10-17
Directive on Pending Cases
The Securities and Exchange Commission of Ghana requires Chief Executive Officers of all Market Operators to report on pending civil, criminal, and statutory tribunal cases as part of their quarterly reporting obligations. The directive mandates that reports include the case title and suit number, the specific court or tribunal, a case summary, its current procedural stage, and the final judgment or ruling. Non-compliance with these reporting requirements will trigger enforcement actions under Section 209(4) of the Securities Industry Act, 2016.
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