RegAlert
2016-04-12

Added · Updated

Quarterly Placement Records from Investment Advisers Managing Funds

The Securities and Exchange Commission mandates investment advisers managing funds to submit quarterly placement records using a standardized reporting format. The initial submission for the first quarter of 2016 must be received by April 30, 2016, with all subsequent filings consolidated alongside regular quarterly returns. Non-compliance triggers financial penalties under Regulation 35 of the Securities and Exchange Commission Regulations, 2003.

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MARKET GUIDANCE NOTES
CIRCULAR NUMBER: SEC/CIR/001/04/16
QUARTERLY PLACEMENT RECORDS FROM INVESTMENT
ADVISERS MANAGING FUNDS
This Market Guidance Note is issued pursuant to section 9(d) of the Securities Industry Act, 1993 (PNDCL 333) as amended by the Securities Industry (Amendment) Act, 2000 (Act 590) which empowers the Securities and Exchange Commission (the Commission) to formulate principles for the guidance of the securities industry. This guideline is provided as an additional requirement for submitting quarterly returns. Investment Advisers managing funds are to submit placement records in line with the attached reporting format, to the Commission every quarter. Submission of the completed placement record for the first Quarter, 2016 must be received by the Commission on or before 30th April, 2016. Failure to comply will attract a penalty under Regulation 35 of Securities and Exchange Commission Regulations, 2003 (L.I 1728). Subsequent submissions of the placement records shall be made together with quarterly returns as per Regulations 33 (3) of L.I 1728. SIGNED ALEXANDER WILLIAMS, DEPUTY DIRECTOR-GENERAL, LEGAL FOR: DIRECTOR –GENERAL ISSUE DATE: 11TH APRIL, 2016 DISTRIBUTION

  • All Investment Advisers managing funds
  • GSIA

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Lineage: In force

Securities and Exchange Commiss…2003Securities and Exchange Commission Regulations 2003 (2003-03-07)Act No. 333 of 1993Act No. 333 of 1993Act No. 590 of 2000Act No. 590 of 2000Regulation No. 1728 of 2003Regulation No. 1728 of 2003Quarterly Placement Recordsfrom Investment Advisers Mana…2016-04-12 · this documentQuarterly Placement Records from Investment Advisers Managing Funds (2016-04-12)Investment Guidelines for Fund …2021Investment Guidelines for Fund Managers (2021-07-18)
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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

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