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Friday, December
04, 2020 / 11:15 AM / by SEC Nigeria / Header Image Credit: SEC Nigeria
Rule 56 (1&2) (c) of the Rules and
Regulations of the Securities and Exchange Commission provides that:
"Registered
brokers/dealers shall disclose to the Commission any dealings in a Security
valued at a minimum of 500,000 units executed in a single deal or in multiple
deals on the same day on behalf of his clients or on his own account not later
than 24 hours after such activity".
In line with the above Rule, the
Commission wishes to request all Capital Market Operators registered as
Brokers, Dealers or Broker Dealers to henceforth comply with the Rule and
forward the required returns as in the template below. The returns shall be
sent to the following email address in excel csv template.
Email
Template
Broker |
CHNumber |
Investor |
Permanent |
Email |
Phone |
Transaction |
Security |
Transaction |
Ticket |
Volume |
Unit |
Total Price |
The implementation of this template will
take effect from January 2, 2021.
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