Securities and Exchange Commission Zambia

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undatedGuidelines on Trustees and Custodians in a Collective Investment Scheme Established Under Trust
2026-07-01Securities and Exchange Commission 2025 Annual Report
2026-07-01Securities and Exchange Commission 2025 Annual Report
2026-06-24Securities and Exchange Commission 2023 Annual Report
2026-06-242024 SEC Annual Report
2026-06-24Securities and Exchange Commission 2023 Annual Report
2026-06-24Securities and Exchange Commission of Zambia 2024 Annual Report
2026-05-11Securities (Capital Markets Tribunal) Rules 2021
2026-05-11Securities (Licensing, Fees and Levies) Rules
2026-05-11The Securities (Capital Markets Tribunal) Rules, 2021
2026-05-11Securities (Specification of Approved Assets, Liquid Assets and Ranking Liabilities) Notice
2026-03-30The Securities (Substantial Shareholder Vetting) Guidelines, 2024
2026-03-30Securities (Substantial Shareholder Vetting) Guidelines, 2024
2026-02-17Circular 1 of 2026: Calendar for Submissions
2025-08-20Securities (Conduct of Business) Rules 1993
2025-05-19Ruling on Application to set aside action – MAMCo v SE
2025-05-19Securities (Compensation Fund) (Amendment) Regulations, 2020
2025-05-19Capital Markets Tribunal – Ruling – SEC Vs Zambia Breweries and National Breweries
2025-05-19Capital Markets Tribunal – Ruling on application for leave to appeal – Stanchart Zambia – Stanchart Nominees and SEC
2025-05-19Capital Markets Tribunal – Xylem Trading Pty Ltd Vs SEC – 2021-CMT-A-001
2025-05-19Capital Markets Tribunal – Ruling – PANEX Vs SEC
2025-05-19Securities (Registration of Securities) Regulations, 2020
2025-05-19Securities (Capital Market Operators) (General Licensing Procedures and Requirements) Regulations, 2020
2025-05-19Securities (Recognition of Self-Regulatory Organisations) Regulations, 2020
2025-05-19Capital Markets Tribunal Ruling – Madison Asset Management Company Limited and Madison Financial Services PLC v Securities and Exchange Commission
2025-05-19Capital Markets Tribunal – Madison Asset Management Company – RULING
2025-05-19Securities (Collective Investment Schemes Authorisation) Regulations, 2020
2025-05-19Capital Markets Tribunal – Ex-Tempore Order – Stanchart Zambia – Stanchart Nominees and SEC
2025-05-19Securities (Self-Regulatory Organizations) (General Requirements) Rules, 2020
2025-05-19Securities (Capital Market Operators) (Complaints Handling Requirements) Rules, 2020
2025-05-19Capital Markets Tribunal – RULING – MAMCO-MFS Vs SEC -Abraham Alutuli and Phillip Chitalu
2025-05-19Securities (Collective Investment Schemes) Rules, 2020
2025-05-16Securities (Takeovers and Mergers) Rules 1993
2025-05-16Securities (Registration of Securities) Rules S.I No 164 Of 1993
2025-05-16Securities (Licensing, Fees and Levies) (Amendment) Rules 2013
2025-05-16Securities (Collective Investment Schemes) Rules S.I No 161 of 1993
2025-05-16Securities (Advertisements) Rules S.I. No 166 of 1993
2025-05-16Securities (Accounting and Financial Requirements) Rules
2025-05-16Securities and Exchange Commission Directives on Anti-Money Laundering, Countering the Financing of Terrorism or Proliferation, 2017
2025-05-16Securities (Compensation Fund) Regulations 162 of 1993
2025-05-16Directives on Maintenance of Bank Accounts for Collective Investment Schemes 2016
2025-05-16Securities (Registration of Securities) (Investment Companies) Rules S.I No 167 of 1993
2025-01-152025 Calendar for Submissions by Capital Market Operators
2024-11-08Securities (Internal Control Over Financial Reporting) Guidelines 2024
2024-09-01Securities (Internal Controls Over Financial Reporting) Guidelines, 2024
2024-04-05The Securities (Exchange Traded Funds) Guidelines, 2024
2024-04-05Circular 1 of 2024: Calendar for Capital Markets Operators' Statutory Submissions
2023-12-27The Securities Act, No. 41 of 2016 (Amended by Act No. 21 of 2022)
2023-12-07Circular No. 5 of 2023 – Call for Expressions of Interest to Join the Capital Markets Master Action Teams
2023-07-21Licensing of Share Transfer Agents – Directive No. 1 of 2023
2023-07-21Market Guidance on the Application Process for a Share Transfer Agent’s Licence
2023-01-30Circular 1 of 2023 – Calendar for Submissions
2022-12-312022 SEC Annual Report
2022-08-09Circular No 1 of 2022 – Secondary Market Bond Trading
2022-08-09Directive No 1 of 2022 – Secondary Market Bond Trading
2022-04-29Securities (Private Funds) Guidelines, 2022
2022-01-28Circular 1 of 2022 – Calendar for Submissions
2021-12-31Securities and Exchange Commission Zambia 2021 Annual Report
2021-05-10Circular 1 of 2021 Calendar of Submissions
2020-12-31Securities and Exchange Commission Zambia 2020 Annual Report
2020-12-09Guideline No. 3 of 2020 Regulatory Sandbox Framework for Capital Markets
2020-07-24The Securities (Commercial Papers) Guidelines 2020
2020-07-14The Securities (Real Estate Investment Trust) Guidelines, 2020
2020-04-01Circular No. 3 of 2020 – Guidance on Market Interventions to Mitigate the Spread of Covid-19
2020-03-18SEC Guidance on Postponement of Annual General Meetings Due to COVID-19
2020-02-28SEC Circular No. 1/2020 – 2020 Submission Calendar for Dealers, Investment Advisors and Issuers
2020-01-16Graduated Fines Framework
2020-01-10The Securities (Green Bonds) Guidelines, 2019
2019-12-31Securities and Exchange Commission Zambia Annual Report 2019
2019-04-26DMSD Circular 4 – Board Meeting Notifications and Other Notifications to the Securities and Exchange Commission
2019-04-26Submission of Monthly Capital Adequacy Returns
2019-04-26Circular No 4/2019 – DMSD Continuing Obligations Disclosures and Notifications (Not Approvals)
2019-04-26DMSD Circular 1/2019 on Submission of Monthly Capital Adequacy Returns
2019-04-25SEC Circular No 3/2019 on Professional Indemnity Insurance Compliance under Section 182(2) of the Securities Act No. 41
2019-04-25DMSD Circular 3 – Professional Indemnity Insurance
2018-12-312018 SEC Annual Report
2018-12-14Market Guidance Note No. 1 of 2018: Payment of Annual Licence Fees
2017-12-31Securities and Exchange Commission 2017 Annual Report
2017-02-15Guidance Note No. 1 of 2017 – Minimum Complaints Handling Procedures for Capital Markets Licensees in Zambia
2016-12-31Securities and Exchange Commission Annual Report 2016
2016-09-30Circular on Non-Authorization of Invest Trace to Access Share Registers
2015-12-31Market Guidance Note on Rule 16 and 18
2015-12-17Guidelines on Minimum Fit and Proper Requirements of Competence and Capability for Representatives Licenses
2014-09-04Market Guidance Note No. 1 of 2014: Licensing Requirements for Local and Foreign Capital Market Entities