Capital Market

Introduction of electronic filing of quarterly returns by capital market operators

Posted by InvestAdvocate on

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To All Capital Market Operators,  

Recall that there was a circular informing all Capital Market Operators of the change in the system of filing quarterly statutory returns with the Commission.

The new quarterly returns template is now available for download. An instruction manual has also been made available as a guide for users. Kindly download here. 

The new filing system consists essentially of the completion of an excel-based template, which operators are required to send along with relevant schedule(s) and documentary evidence(s) to dedicated e-mail addresses listed below:

S/N

FUNCTION

E-MAIL ADDRESS

 

Broker/Dealers

brokers@sec.gov.ng

 

Funds/Portfolio Managers

portfoliomanager@sec.gov.ng

 

Investment Advisers

investmentadvisers@sec.gov.ng

 

Trustees

trustees@sec.gov.ng

 

Rating Agencies

ratingagency@sec.gov.ng

 

Underwriters

underwriters@sec.gov.ng

 

Issuing Houses

issuinghouse@sec.gov.ng

 

Custodians

custodians@sec.gov.ng

 

Market Makers

marketmakers@sec.gov.ng

 Be reminded that this takes effect from 1st quarter, 2014 and all Capital Market Operators required to file quarterly returns are expected to comply accordingly bearing in mind the stipulated guidelines in line with the SEC rules.

 

Source: SEC

 

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