SEC Proposes Amendments To Its Rules On Sub-broker, Records of Transactions and Risk Mgmt

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Tuesday, December 03, 2019 / 11:57 AM / by SEC Nigeria / Header Image Credit: PSLiving


The Securities and Exchange has proposed amendments to the following rules;

Sundry Amendments 

1. Proposed Amendment of Rule 67- Rules on Sub-broker 

2. Proposed Amendment to Rule 70: Records of Transactions with Clients 

3. Proposed Amendment: creation of a new Rule 76 - Risk Management 

Download Full Document --> SEC Rules for Exposure (Nov 2019)

All comments and input should be forwarded by e-mail to the Secretariat, Rules Committee of the Commission, at or by letter addressed to the Director-General, SEC, not later than two (2) weeks from date of publication.


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