Regulatory Alerts2026-09-04
Added
Securities Industry (Electronic Communications, Recordkeeping And Off-Channel Communications For The Securities Market) Guidelines, 2026
The Securities and Exchange Commission, Ghana, requires market operators and virtual assets service providers to conduct all business communications over designated approved channels, prohibiting off-channel communications and mandating the transfer of any such messages to approved systems. Class III communications, defined as those involving transaction negotiation or material non-public information, must be conducted exclusively on Recognized Market Communication Platforms, which are subject to a formal recognition process involving technical standards, independent assurance, and ongoing compliance obligations. Market operators must capture and retain complete records of all business communications for a minimum of seven years, with specific retrieval timelines of 48 hours for records under two years old and five business days for older records. The Guidelines impose governance duties including the designation of a compliance officer, annual attestation, risk-based monitoring, and mandatory breach reporting to the Commission within five business days of discovery.
More like this from SEC
SEC published 3 documents in the last 30 days. We email you each new one the day it's published.