Securities and Exchange Commission Ghana

261 documents, newest first — showing 201–261.

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2018-07-09Draft Securities Industry (REITs) Regulations 2017
2018-07-09Invitation to sensitization forum on Draft Commodity Exchange Regulations and Draft Warehouse Regulations
2018-06-19Directive on Guaranteed Returns and Fixed Term Investments
2018-05-23Securities and Exchange Commission Ghana Invitation for Tender for Official Vehicle Supply
2018-05-10SEC Public Notice Regarding Fund Managers Under Investigation
2018-04-23New Guidelines on Private Funds
2018-04-18Guidelines for Private Funds (April 2018)
2018-04-16Draft Guidelines on Financial Resources and Corporate Governance Code for Listed Companies
2018-03-19Registration/Update of Supplier Database For The Year 2018
2018-03-13Guidelines on Market Levies for 2018
2018-03-08Public Notice on Purported Takeover of ADB Limited by Unibank
2018-02-12Public Notice on Advertisements for the Protection of Consumers of Financial Services
2018-02-12Public Notice On Ghana Mutual Aid, Susu Cash Ghana, Earnit Ghana, Afrigram & Payday Ghana
2018-02-08Invitation to Workshop on Draft SEC/FIC AML/CFT Guidelines and Administrative Sanctions
2018-01-16Mandatory Disclosure Items for Public Companies
2017-12-04Invitation to Annual Meeting with CEOs and CFOs of Listed Companies
2017-11-10Invitation to Anti-Money Laundering Reporting Officers Training Programme
2017-10-10Public Notice on Menzgold
2017-10-02World Investor Week 2017
2017-09-22Amendment of Market Levy On Funds Under Management
2017-09-22Amendment of Guidelines on Market Levies
2017-09-14Notice of Compulsory Delisting of UT Bank Limited
2017-09-07The Newly Reconstituted Board of Securities and Exchange Commission, Ghana
2017-08-182017 Second Quarter Newsletter
2017-06-20SEC Organises Compliance and Anti-Money Laundering Officers’ Forum
2017-06-20SEC Conducts Survey on Human Resource Capacity for the Capital Market
2017-06-20IOSCO Approves the Enhanced Standard for Cross-Border Enforcement Cooperation
2017-06-20Public-Private Partnership Arrangement for Office Accommodation Complex for Securities and Exchange Commission
2017-04-27Directive to Securities Exchanges and Depositories on Changes to Market Infrastructure
2017-01-03Guidelines on Market Levies for 2017
2016-09-14Securities Industry Act, 2016, Act 929
2016-04-12Quarterly Placement Records from Investment Advisers Managing Funds
2015-03-31Returns on Clients Investments
2015-03-31Application for Mutual Fund Schemes
2014-08-26Final Registrar Guidelines for Market Operations in Ghana
2014-08-21SEC Circular on Ghana Securities Industry Association Recognition and Membership Requirements
2014-04-17Final Permissible Activities by Investment Advisers in the Securities Market
2013-10-30Guidelines for Investments in Foreign Jurisdictions by Managers of Collective Investment Schemes
2013-05-22Appointment of Directors of Licensed Stockbrokers to Public Company Boards
2013-05-22Unit Trusts and Mutual Funds Regulations, 2001 (L.I. 1695)
2012-10-19Guidelines for Investment in Commercial Paper
2012-07-11Guidance Notes on Dismissed Employees 2012
2012-06-11Imposition and Publication of Sanctions
2012-06-11Guidance on Appointment by Issuers of Independent Registrars for IPOs
2012-06-11Guidance on Appointment by Issuers of Independent Agencies (IPO)
2012-06-11Periodic Compliance Reports by Broker-Dealers and Investment Advisers
2010-04-01Guidance on the Issuance of Licences to Representatives of Licensees
2006-08-09Notice on Initial Public Offers and Rights Issues
2006-08-01Guidance on Unclaimed and Unpaid Dividends in Ghana
2004-08-31Implementation of Regulations 14 and 22 of the Securities and Exchange Commission Regulations 2003
2004-07-14Report of Compliance Officers – Regulation 25-7bc
2003-03-07Securities and Exchange Commission Regulations 2003
2002-05-31Acquisition of Securities of Public Companies by Licensed Dealing Members, Broker-Dealers and Investment Advisers
undatedSecurities Industry (REITS) Guidelines 2019
undatedGuidelines on Reporting Accountants 2020
undatedSecurities Industry (Self-Regulatory Organizations) Guidelines 2022
undatedSecurities Industry (Registration of Securities) Guidelines 2022
undatedSEC Ghana Compliance Manual for Broker-Dealers, Investment Advisers & Representatives
undatedSEC Code on Takeovers and Mergers (January 2008)
undatedFees and Charges Miscellaneous Provisions Regulations 2023
undatedForeign Exchange Act 2006 (Act 723)