RegAlert

Enforcement · SEC · 30 Aug 2016

Mrs. Oge C. Ottiwu – Illegal Capital Market Activities

securities
enforcement
licensing

The Securities and Exchange Commission has declared that Mrs. Oge C. Ottiwu is conducting unregistered capital market activities in Anambra State, violating Section 38(1) of the Investments and Securities Act. The regulatory body mandates that all capital market professionals must obtain prior registration before engaging in securities business. Consequently, the public is warned that any transactions with Mrs. Ottiwu are undertaken at their own risk due to her unregistered status.

NigeriaSecurities and Exchange Commission Nigeria

The attention of the Securities & Exchange Commission has been drawn to the activities of Mrs. Oge C. Ottiwu of No. 118 Zink Avenue, Opposite Eke Market, Awka, Anambra State, who engages in capital market activities without registration within Anambra State and its environs.
Section 38(1) of the Investments and Securities Act, 2007 requires any person who intends to operate as a professional in the capital market or carry on securities business to be registered by the Commission before engaging in such activities. It is therefore illegal to carry on any kind of capital market business without registration.
In view of the above, the general public is hereby WARNED that any person dealing with the within named person in any capital market related business is doing so at his/her own risk.
SIGNED
MANAGEMENT

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Investments and Securities Act,2007Not in RegAlertInvestments and Securities Act, 2007 — Not in RegAlertMrs. Oge C. Ottiwu – IllegalCapital Market Activities2016-08-30 · this documentMrs. Oge C. Ottiwu – Illegal Capital Market Activities (2016-08-30)
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  • Investments and Securities Act, 2007Not in RegAlert

    “Section 38(1) of the Investments and Securities Act, 2007 requires any person who intends to operate as a professional in the capital market or carry on securities business to be registered by the Commission before engaging in such activit…”

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

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